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Results: 1-10 of 271

FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for

HTG capital files lawsuit to identify alleged spoofer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and

Study finds whistleblowers increase penalties of regulatory enforcement actions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 13 2015

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties

NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a

FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary

SEC obtains $585 million judgment against MRI International for Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 6 2015

A Nevada District Court granted the Securities and Exchange Commission’s request for a $585 million judgment against MRI International, Inc. and its

Bharara appeals Second Circuit’s decision vacating insider trading convictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 30 2015

Preet Bharara, United States Attorney for the Southern District of New York, has petitioned the United States Court of Appeals for the Second Circuit

Federal prosecutors charge Canadian trader in “layering” scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2015

The US Attorney for the District of New Jersey recently filed criminal securities and wire fraud charges against a Canadian man, Aleksandr Milrud

Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged

Government seeks extended prison term in securities fraud case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of