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Broker-Dealer Sanctioned Over $3.3 Million for Not Making Required Regulator Filings With FINRA and Not Producing Documents in Discovery to Arbitration Claimants
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

Oppenheimer & Co, Inc. agreed to pay a fine of US $1.575 million and remediation payments to customers of US $1.846 million to resolve a Disciplinary


Federal prosecutors charge Canadian trader in “layering” scheme
  • Katten Muchin Rosenman LLP
  • USA
  • January 23 2015

The US Attorney for the District of New Jersey recently filed criminal securities and wire fraud charges against a Canadian man, Aleksandr Milrud


Broker-dealer fined US $3 million by FINRA for customer protection rule violations
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

Pershing LLCa registered broker-dealerwas fined US $3 million by the Financial Industry Regulatory Authority for not complying with Securities and


Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity
  • Katten Muchin Rosenman LLP
  • USA
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary


Bharara appeals Second Circuit’s decision vacating insider trading convictions
  • Katten Muchin Rosenman LLP
  • USA
  • January 30 2015

Preet Bharara, United States Attorney for the Southern District of New York, has petitioned the United States Court of Appeals for the Second Circuit


Chief compliance officer sued by SEC for defrauding investors and employer broker-dealer; criminal charges also filed
  • Katten Muchin Rosenman LLP
  • USA
  • May 31 2015

The Securities and Exchange Commission filed administrative charges against William Quigley, former chief compliance officer and chief anti-money


Former Olympic Games sponsor settles with SEC for $25 million over FCPA violations
  • Katten Muchin Rosenman LLP
  • USA
  • May 29 2015

On May 20, BHP Billiton Ltd. and BHP Billiton Plc (BHPB), a global resources company that sponsored the 2008 Beijing Summer Olympic Games, settled


SEC grants maximum whistleblower award for first retaliation action
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2015

The Securities and Exchange Commission will award over US $600,000 to a whistleblower who was retaliated against after he provided information to the


Merrill Lynch fined US $6 million by FINRA for Reg SHO violations and supervisory lapses
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

The Financial Industry Regulatory Authority fined two Merrill Lynch companies US $ 6 million in aggregate for not complying with certain requirements