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Results: 1-10 of 166

CFTC Inks Non-Prosecution Agreements With Three Traders Who Admit to Spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • July 9 2017

The Commodity Futures Trading Commission entered into non-prosecution agreements with three individual traders formerly associated with a futures


SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

David Liew, a former junior trader that many media sources have indicated was based in Singapore and associated with Deutsche Bank, pleaded guilty in


CFTC Strengthens Protections for Whistle-Blowing While You Work
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its whistle-blowing rules to augment anti-retaliation protections for whistleblowers. Simultaneously


CFTC Approves Amendments to Whistleblower Rules
  • Katten Muchin Rosenman LLP
  • USA
  • May 26 2017

On May 22, the Commodity Futures Trading Commission approved amendments to the whistleblower rules 17 CFR Part 165. The amended rules strengthen the


Employees Criminally Charged With Theft of Trade Secrets From Two Financial Services Trading Firms
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2017

One former employee of Susquehanna International Group LP ("SIG") and another from KCG Holdings, Inc. were criminally charged in federal court with


NFA Issues Notice Regarding Updated FinCEN AMLCFTC Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • April 14 2017

On April 10, the National Futures Association (NFA) published Notice I-17-09, which notified member futures commission merchants (FCMs) and


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


ICE Futures Proposes to Empower Its VP of Market Regulation to Taketh Away and Giveth Back Too
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

ICE Futures U.S. has amended its rule that authorizes the Vice President of Market Regulation to issue summary fines of up to US $10,000 without a


Price Protection Is Price Protection Is Price Protection - Unless It’s FCM Activity Says CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Davisco Foods International, Inc., an international cheese and food ingredient company headquartered in Le Sueur, Minnesota, agreed to settle a