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FSA bans prop trader for mismarking positions
- Katten Muchin Rosenman LLP
- -
- USA
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- March 19 2010
On March 16, the UK Financial Services Authority (FSA) announced that it had imposed a five-year prohibition order on Alexis Stenfors, a former trader with the London branch of Merrill Lynch International Bank Limited (MLIB) banning him from performing any function in relation to any regulated activity on the grounds that he is not a fit and proper person
£1.1m fine and first High Court injunction against market abuse
- Katten Muchin Rosenman LLP
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- USA
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- May 27 2011
On May 24, the UK Financial Services Authority (FSA) announced that it had fined Samuel Kahn £1,094,900 (approximately $1,790,000) and obtained a High Court injunction restraining him from committing market abuse
Appeal tribunal upholds FSA ban and fine on former investment bank advisers
- Katten Muchin Rosenman LLP
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- USA
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- May 25 2012
On May 21, the Upper Tribunal (Tax and Chancery Chamber) published related decisions upholding the Financial Services Authority's decision notices imposing fines and bans on both Sachin Karpe and Laila Karan
FSA bans former hedge fund CEO Alberto Micalizzi and imposes £3 million fine
- Katten Muchin Rosenman LLP
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- USA
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- June 1 2012
On May 29, the UK Financial Services Authority (FSA) announced that it had decided to fine Alberto Micalizzi £3 million (approximately $4.6 million) and ban him from performing any role in regulated financial services for not being fit and proper
FSMT decides that research analyst and spread better friend committed market abuse
- Katten Muchin Rosenman LLP
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- USA
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- January 15 2010
On January 11, the UK Financial Services Authority (FSA) announced that a former research analyst and his friend have been found to have committed market abuse by using inside information to carry out a series of profitable spread bets
FSA enforcement director speaks on prosecutorial approach
- Katten Muchin Rosenman LLP
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- USA
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- September 18 2009
On September 14, the UK Financial Services Authority (FSA) published the text of a speech by Margaret Cole, FSA Director of Enforcement, about the FSA’s strategy and approach to fighting fraud
Market abuse fine increased by appeal tribunal
- Katten Muchin Rosenman LLP
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- USA
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- October 22 2010
On October 20, the Financial Services and Markets Tribunal issued its decision in the matter of Andre Jean Scerri and the UK Financial Services Authority (FSA
UK government publishes supplementary market abuse regulations
- Katten Muchin Rosenman LLP
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- USA
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- December 4 2009
On December 1, the UK Government published additional regulations relating to some of the market abuse provisions of the Financial Services and Markets Act 2000 (FSMA
Current Search
- Jurisdiction - USA
- Workarea - Capital Markets
- Workarea - White Collar Crime
- Firm Name - Katten Muchin Rosenman LLP
- Author - Edward Black