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Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


NFA to Amend Rules to Encompass New FinCEN Beneficial Owner Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

The National Futures Association reminded members that the Financial Crimes Enforcement Network has adopted final rules requiring future commission


Broker-Dealer to Pay US $1.2 Million to FINRA for Widespread OATS Violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

Barclays Capital Inc. agreed to pay a fine of US $1.3 million to the Financial Industry Regulatory Authority to resolve charges that, from September


Court Orders Two Web-Based Firms to Pay US $4.6 Million in Sanctions for Binary Options Trading Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

A federal court entered a default judgment against Vault Options Ltd and Global Trader 365, Israeli-based web companies, in connection with charges


Court Orders Disbarred Attorney to Pay US $280,000 Fine to CFTC for Role in Illicit Money Passes
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

John Briner, a disbarred Canadian attorney, and his defunct law firm, Metrowest Law Corp., were ordered by a federal court to pay a fine of US $280


MF Global and Individual Defendants Finalize Settlement With Customers and Other Creditors
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

The infamous history of MF Global is closer to ending after the administrator for the bankrupt holding company filed a proposed notice of settlement


Global Head of FX Cash-Trading Desk of Global Investment Bank Arrested for Front Running
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

Mark Johnson, former head of global foreign exchange cash trading at HSBC Bank, and Stuart Scott, former head of FX cash trading for HSBC for Europe


Introducing Broker Settles CFTC Action for Solicitation Fraud and Lying to NFA
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Atlantas Group, Inc. and Edmund Hysni agreed to settle charges brought by the Commodity Futures Trading Commission that they committed solicitation


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


CFTC Staff Reminds FCMs and IBs to Report Suspicious Activities Timely and All Registrants to Comply With OFAC Sanctions Programs
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued an advisory to remind futures commission