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Results: 11-20 of 565

Block trades, EFRPs and position limits are continued subjects of CME Group’s enforcement focus
  • Katten Muchin Rosenman LLP
  • USA
  • April 19 2015

The CME Group issued notices regarding 18 disciplinary actions last Fridayall involving modest fines from US $7,500 to $35,000most involving


Deutsche Bank branch in Dubai fined for AML, client onboarding and governance weaknesses
  • Katten Muchin Rosenman LLP
  • United Arab Emirates
  • April 19 2015

The Dubai Financial Services Authority fined Deutsche Bank AG Dubai the equivalent of US $2.3 million (UAE Dirham 8.4 million) for not meeting its


Developments in white collar criminal enforcement: the government remains aggressive, and the courts' reaction is mixed
  • Katten Muchin Rosenman LLP
  • USA
  • April 6 2015

The first quarter of 2015 witnessed a continuing effort by government lawyers to push the boundaries of criminal statutes in white collar cases&mdash


CFTC charges pastor used Peregrine Financial Group collapse as cover to help defraud congregants
  • Katten Muchin Rosenman LLP
  • USA
  • April 5 2015

The Commodity Futures Trading Commission sued Wesley Brown, Edward Rubin and Maverick International, Inc. in a federal court in Florida for


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed


NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information
  • Katten Muchin Rosenman LLP
  • USA
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a


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


Money service businesses for second largest virtual currency fined for AML deficiencies; Bitcoin exchange gets first NY license as trust company
  • Katten Muchin Rosenman LLP
  • USA
  • May 10 2015

Two purveyors of XRP, the second most popular virtual currency after Bitcoin, were fined last week by the Financial Crimes Enforcement Network and


Unnamed senior banker pleads guilty in UK to LIBOR offense
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 12 2014

An unnamed "senior banker" pleaded guilty to conspiracy to defraud in connection with his alleged manipulation of the London Interbank Offered Rate


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