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Results: 1-10 of 68

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


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed


Deutsche Bank sanctioned almost US $200,000 by ICE Futures U.S. for one-time speculative limit violation; CME Group fines three firms for documentation issues related to EFRPs
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Deutsche Bank AG was fined US $20,000 and required to disgorge profits of almost US $175,000 related to a single instance of violating position


Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out


CFTC seeks to bar admitted embezzler and his company from registration after he allegedly fails to disclose crimes on his registration application
  • Katten Muchin Rosenman LLP
  • USA
  • October 5 2014

The Commodity Futures Trading Commission commenced an action to permanently disqualify Zero Chaos Advisors, LLC and Ronald Fisher from registration


CFTC sues trader for fraud and unauthorized swap trades
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2014

Gregory Evans, a former employee of an unnamed futures commission merchant and provisionally registered swap dealer, was sued by the Commodity


Introducing broker sued by CFTC for failing to follow AML procedures
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2014

The Commodity Futures Trading Commission filed and settled an administrative action against Zulutrade, Inc., a Greece-based registered introducing