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Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

Lek Securities Corporation ("LEK"), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief executive officer, were sued by the


Retail Foreign Exchange Dealer Agrees With CFTC and NFA to Cease Doing Business for Concealing Relationship With Closely Tied Market Maker
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

Forex Capital Markets, LLC, a retail foreign exchange dealer, and two of its principals - Dror Niv and William Ahdout - agreed to terminate their


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


Another Day, Another CFTC ISDAFIX Fine:
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

The Royal Bank of Scotland plc agreed to pay a US $85 million fine to the Commodity Futures Trading Commission to resolve charges that, from 2007


CME Group Implements Some New Offenses and Makes Technical Amendments to Globex Access Restrictions Rule
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

CME Group amended its General Offenses rule (click here to access CME Group Rule 432) for each of its designated contract markets and the Swap


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


John Corzine Agrees to US $5 Million Fine and Registration Ban to Settle CFTC Charges Related to Collapse of MF Global; Edith O’Brien to Pay US $500,000
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

More than five years after the collapse of MF Global Inc. delayed the repayment to its customers of 100 percent of their funds for approximately two


Individual FX Dealer Pleads Guilty to Currency Prices Manipulation
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Jason Katz, previously employed by three financial institutions in New York City, pleaded guilty to manipulating foreign exchange prices from at least


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission