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Results: 1-10 of 62

FinCEN issues advisory on FATF-identified jurisdictions with AMLCFT deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated


CFTC sues Chinese citizen accused of executing fraudulent money pass trades
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2015

The Commodity Futures Trading Commission recently sued Chinese citizen Yumin Li, for violations of the Commodity Exchange Act (CEA). The CFTC accused


Former MF Global broker agrees to US $500,000 CFTC fine for attempting to manipulate palladium and platinum settlement prices from 2006 through 2008
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Joseph Welsh, a former broker for MF Global, agreed to settle charges by the Commodity Futures Trading Commission against him that, from at least


CME Group requires profit disgorgement as part of position limit violation settlements; traders settle for alleged spoofing-type conduct on both CME Group and ICE Futures U.S.
  • Katten Muchin Rosenman LLP
  • USA
  • June 7 2015

Two unrelated firms were each fined US $25,000 and required to disgorge profits related to position limit violations involving futures traded on the


Kraft Foods and Mondelez Global seek to dismiss parts of CFTC’s manipulation complaint
  • Katten Muchin Rosenman LLP
  • USA
  • June 7 2015

Kraft Foods Group and Mondelez Global moved in federal court in Illinois to dismiss certain charges brought against them by the Commodity Futures


Tenth Circuit affirms clawback from unsuspecting recipient of funds under Uniform Fraudulent Transfer Act
  • Katten Muchin Rosenman LLP
  • USA
  • June 5 2015

The US Court of Appeals for the Tenth Circuit recently upheld the grant of summary judgment for the receiver of a business that was alleged to have


Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary


Block trades, EFRPs and position limits are continued subjects of CME Group’s enforcement focus
  • Katten Muchin Rosenman LLP
  • USA
  • April 19 2015

The CME Group issued notices regarding 18 disciplinary actions last Fridayall involving modest fines from US $7,500 to $35,000most involving


CFTC charges pastor used Peregrine Financial Group collapse as cover to help defraud congregants
  • Katten Muchin Rosenman LLP
  • USA
  • April 5 2015

The Commodity Futures Trading Commission sued Wesley Brown, Edward Rubin and Maverick International, Inc. in a federal court in Florida for


FXDirectDealer fined US $500,000 by NFA for AML violations and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

FXDirectDealer LLC and Joseph Botkier, its chief executive officer, agreed to settle an administrative complaint brought by the National Futures