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Results: 1-10 of 126

CME Group Sanctions Nonmembers for Impermissible Money Transfers and Pre-Execution Communications
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

The Chicago Board of Trade fined Zhi Guo Zhang, a nonmember, US $100,000 for engaging in noncompetitive soybean futures trades between October 8 and


Convicted Spoofer Denied Bail Pending Appeal of Adverse Verdict
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Michael Coscia, the first person prosecuted, convicted and sentenced to three years' imprisonment under a law prohibiting spoofing that was enacted


NFA Issues Notice Regarding Jurisdictions With AMLCFT Deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2016

On September 14, the National Futures Association (NFA) published Notice I-16-19, which notified member futures commission merchants (FCMs) and


CME Group Files and Settles Disciplinary Actions Alleging Layering, Impermissible Transitory EFRPs and a Transfer Trade
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Chicago Board of Trade and the Chicago Mercantile Exchange each brought and settled disciplinary actions against Fredrik Nielsen, a nonmember


Energy Trader Charged by CFTC for Making False Entries in Employer’s Records
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Commodity Futures Trading Commission filed an enforcement action against Fan Wang (aka Alex Wang), in a federal court in New York City, claiming


CFTC Proposes Amendments to Whistleblower Awards Process
  • Katten Muchin Rosenman LLP
  • USA
  • September 2 2016

On August 30, the Commodity Futures Trading Commission published in the Federal Register proposed amendments to its whistleblower awards process (17


Bridging the Week
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2016

Last week, a nonmember was summarily barred from accessing all CME Group exchanges' markets for 60 days for endeavoring to disguise that he was the


Nonmember Banned From Trading All CME Group Products for 60 Days Without a Hearing for Alleged Suspicious Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2016

Andrey Sakharov, a nonmember, was summarily barred from trading any CME Group product for 60 days based on a determination by CME Group's chief


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