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Results: 1-10 of 99

Subject of IFUS Sanction for Alleged Non-Bona Fide EFPs Also Penalized by CFTC for Same Conduct
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2016

Michael Pucciarelli and Badge Trading LLC, a company wholly owned by Mr. Pucciarelli, agreed to pay a fine of US $280,000 and be barred from trading


Two Non-US Residents Consent to CFTC Settlement for Alleged Spoofing Activity
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2016

Heet Khara and Nasim Salim, residents of the United Arab Emirates, agreed to settle charges brought against them for alleged spoofing activity from


Federal Court Declines to Set Aside Coscia Spoofing Conviction
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2016

Last week, the judge that recently oversaw the trial of Michael Coscia in a US federal court in Chicago declined to grant Mr. Coscia's motion for


IFUS Proposes to Expand FCMs’ AML Responsibilities Under Its Rules
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2016

ICE Futures U.S. proposes to amend one of its rules to make it clear that futures commission merchants must maintain anti-money laundering programs


Fund Manager Resolves CFTC Charges Related to Material Misstatements and Omissions by Agreement to Pay Over US $5.65 Million in Disgorgement and Fine
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2016

Equinox Fund Management, LLC settled charges brought by the Commodity Futures Trading Commission that, from 2004 to March 2011, it made material


UK SFO Ends Forex Investigation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 20 2016

The UK Serious Fraud Office announced it closed its criminal investigation into allegations of fraudulent conduct in the foreign exchange market that


Broker-Dealer Fined US $675,000 by FINRA for Excessive Fails on Shares of 14 ETFs
  • Katten Muchin Rosenman LLP
  • USA
  • February 28 2016

Wedbush Securities Inc., agreed to pay a fine of US $675,000 to the Financial Industry Regulatory Authority and Nasdaq Stock Market LLC, to resolve


CFTC Motion to Expand Proof in Spoofing Case Denied
  • Katten Muchin Rosenman LLP
  • USA
  • February 21 2016

A US court in Illinois denied a motion of the Commodity Futures Trading Commission to potentially introduce evidence of new trading allegedly


Principals of Former Precious Metals Dealer Agree to Settlement With CFTC Over Alleged Illegal Sales to Retail Customers
  • Katten Muchin Rosenman LLP
  • USA
  • February 14 2016

Mintline, Inc., Cindy Vandivier and Paul Vandivier agreed to settle an enforcement action brought by the Commodity Futures Trading Commission in a


MF Global Inc. Estate Resolution Totally Wrapped-Up
  • Katten Muchin Rosenman LLP
  • USA
  • February 14 2016

The tumultuous life of MF Global Inc. ended last week when the US federal judge overseeing the liquidation of the company formally closed the firm's