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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


Introducing Broker Charged by NFA With Not Conducting Annual AML Review
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Long Leaf Trading Group, Inc., a registered introducing broker, agreed to pay a fine of US $12,500 to file charges brought by the National Futures


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


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


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


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