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Sentinel principal ordered to pay more than US $2 million by federal court
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal court in Illinois entered an order of permanent injunction and sanctions of over $2.1 million against Charles Mosley for his role in the


Anti-money laundering program and suspicious activity report filing for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to


FINRA fines and suspends two CCOs for supervisory and AML violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2015

The Financial Industry Regulatory Authority fined Aegis Capital Corp US $950,000 for selling unregistered penny stocks and related supervisory


FCA enforcement: recent action against former investment analyst for “cherry picking”
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 20 2015

On November 17, the UK Financial Conduct Authority (FCA) published its final notice addressed to Mothahir Miah, a former investment analyst at a


CCO fined and suspended by SEC for recidivist violation by investment adviser; sanctions against IA and principals too
  • Katten Muchin Rosenman LLP
  • USA
  • November 22 2015

Christopher Kelly, the chief compliance office of Sands Brothers Asset Management LLC - a registered investment adviser - agreed to pay a fine of US


SEC-sanctioned trader began alleged spoofing after complaining about spoofing by others to NYSE
  • Katten Muchin Rosenman LLP
  • USA
  • October 11 2015

Eric Oscher and Briargate Trading, LLC, a company 50 percent owned by Mr. Oscher, agreed to pay an aggregate fine of US $500,000 and disgorge profits


Barbara Duka obtains preliminary injunction against SEC prosecuting her in an administrative tribunal
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

The US federal judge in New York who two weeks ago reserved judgment regarding Barbara Duka's efforts to enjoin the Securities and Exchange


Criminal charges filed for massive cyber hack of banks, brokers and other companies
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

Federal prosecutors filed criminal charges against Joshua Aaron, Ziv Orenstein and Gery Shalon in New York, and Mr. Aaron, Mr. Shalon and an unnamed


Ex-Enron Head Permanently Barred From Serving as Officer or Director of Publicly Traded Companies
  • Katten Muchin Rosenman LLP
  • USA
  • December 13 2015

The Securities and Exchange Commission announced that it had obtained an order from a federal court permanently barring Jeffrey Skilling from ever


French AMF Fines Exchange and Trader 5 Million Each for Alleged Disruptive Trading
  • Katten Muchin Rosenman LLP
  • France
  • December 13 2015

The French financial regulator, Autorité des Marchés Financiers, announced that it had penalized both Virtu Financial Europe and Euronext Paris 5