We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 113

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


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


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


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


IFUS Files and Resolves Disciplinary Action Alleging Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

ICE Futures U.S. filed and settled charges against Cashcot Industries Pte. Ltd. and 1 Jain, a trader employed by Cashcot, for engaging in layering and


Trader and Company Agree to Pay a US $250,000 Fine to Resolve CFTC Allegations They Engaged in Fictitious Transactions in Illiquid Single Stock Futures
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

Mathew Marcus and his company, Tech Power Inc., agreed to settle charges brought by the Commodity Futures Trading Commission in connection with an


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


CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On July 6, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) published Staff Advisory No. 16-60


Broker-Dealer Agrees to Pay US $275,000 to Resolve Faulty Short-Interest Reporting FINRA Disciplinary Action
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2016

Oppenheimer & Co. Inc. agreed to pay a fine of US $275,000 to resolve charges brought by the Financial Industry Regulatory Authority that, on


Broker-Dealer Sanctioned by SEC for Anti-Money Laundering Breakdowns
  • Katten Muchin Rosenman LLP
  • USA
  • June 5 2016

Albert Fried & Company, LLC, a Securities and Exchange Commission-registered broker-dealer, agreed to pay a fine of US $300,000 to resolve charges by