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Results: 1-10 of 468

Two Broker-Dealers to Pay US $154 Million to the State of NY and the SEC to Resolve Allegations of Wrongdoing by Their Dark Pools
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

Barclays Capital Inc. and Credit Suisse Securities settled allegations by the Securities and Exchange Commission and the New York State Attorney


FCA Publishes “Dear CEO” Letter in Relation to Client Take-On Procedures for CFD Products
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 5 2016

On February 2, the Financial Conduct Authority (FCA) published a “Dear CEO” letter (Letter) setting out the FCA’s findings from a review of client


Fund Manager Sanctioned by SEC for Overcharging Fees and Misleading Investors About Asset Valuation
  • Katten Muchin Rosenman LLP
  • USA
  • January 24 2016

Equinox Fund Management, LLC agreed to refund investors US $5.4 million plus interest and pay a fine of US $400,000 to resolve charges by the


SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors
  • Katten Muchin Rosenman LLP
  • USA
  • January 22 2016

On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund Management LLC (Equinox). The SEC order found


Broker-Dealer Fined US $15 Million for Short Sales Deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2016

Goldman, Sachs & Co. agreed to pay a fine of US $15 million to the Securities and Exchange Commission to resolve charges that it failed to comply


CME Group Proposes to Toughen Requirements Prohibiting Exchange Access by Persons Subject to Economic Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The CME Group is adding one new rule and amending two others to minimize the likelihood that its exchanges might be used for illicit money laundering


Paying Salespersons Salary and Discretionary Bonus Is Misleading When Clients Are Told Payment Is Based on Performance Says SEC in Enforcement Action
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The Securities and Exchange Commission fined JP Morgan Securities LLC US $4 million for allegedly misstating to its customers that, between March


Steven A. Cohen Barred by SEC From Serving as Hedge Fund Supervisor for Two Years for Alleged Supervisory Failures; No Fine Assessed
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

Steven A. Cohen, founder and owner of hedge fund advisers that used his own initials, S.A.C., settled an administrative complaint brought in 2013 by


Broker-Dealer to Pay FINRA Almost US $7.3 Million to Resolve Claims It Sold Unregistered Microcap Shares and Committed AML Violations
  • Katten Muchin Rosenman LLP
  • USA
  • January 2 2016

The Financial Industry Regulatory Authority fined Cantor Fitzgerald & Co. US $6 million and required disgorgement of almost $1.3 million in


Bank Sanctioned US $307 Million by CFTC and SEC for Alleged Conflicts of Interest in Investing Clients’ Funds
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Commodity Futures Trading Commission and the Securities and Exchange Commission both filed and settled enforcement actions naming JPMorgan Chase