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Results: 11-20 of 831

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


US sentencing commission revises sentencing guidelines for fraud
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2015

The United States Sentencing Commission recently adopted new guidelines for sentencing in cases involving fraud and economic crimes, seeking to


BNY Mellon fined GBP 126 million by UK FCA for failure to comply with custody rules
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 19 2015

The UK Financial Conduct Authority fined The Bank of New York Mellon London Branch and The Bank of New York Mellon International Limited GBP 126


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


Financial action task force publishes updated list of deficient jurisdictions
  • Katten Muchin Rosenman LLP
  • Global
  • March 6 2015

On February 27, the Financial Action Task Force (FATF), which is an inter-governmental body established to set standards and promote effective


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


FCA sanctions Bank of Beirut, former compliance officer and former internal auditor for providing misleading information regarding AML systems and controls remediation
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

The Bank of Beirut was fined GBP 2.1 million (approximately US $3.16 million) by the Financial Conduct Authority for not fixing issues related to its