We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 616

Alleged Spoofer in CFTC Enforcement Action Claims Relevant Statute and Regulation Unconstitutionally Vague
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The trader and his company subject to an enforcement action by the Commodity Futures Trading Commission in a federal court in Chicago for alleged


Federal Court Rejects Broker-Dealer’s Challenge to FINRA’s Authority to Commence Disciplinary Action
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

A federal court in Maryland dismissed a challenge by Scottsdale Capital Advisors Corporation, a Securities and Exchange Commission-registered


Court chastises SEC for causing unwarranted collapse of foreign bank
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

A federal judge in New York severely criticized the Securities and Exchange Commission over its handling of a lawsuit against Caledonian Bank Ltd


Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a lawsuit in a


Investment Advisers Act has a onethree-year statute of limitations
  • Katten Muchin Rosenman LLP
  • USA
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants


Alleged Spoofer, Blamed for Partly Causing Flash Crash, Loses UK Extradition Hearing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 27 2016

Navinder Sarao, the London-based futures trader who in April 2015 was sued by the Commodity Futures Trading Commission and criminally charged with


Court holds late fee provision is not liquidated damages provision
  • Katten Muchin Rosenman LLP
  • USA
  • October 23 2009

The United States District Court for the District of Delaware denied defendant issuer’s motion to dismiss plaintiff’s claims for actual damages resulting from the defendant’s failure to file a registration statement within the time period required by the parties’ agreement


SEC may bring control person liability claim without joining primary violator
  • Katten Muchin Rosenman LLP
  • USA
  • August 17 2007

The Securities and Exchange Commission brought a securities fraud action against former senior officers of iGo Corporation who allegedly engaged in fraudulent accounting practices and aided and abetted iGo’s violations of 13(a) of the Securities Exchange Act of 1934


CFTC enforcement action introduces new theory of spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2015

The Commodity Futures Trading Commission filed civil charges in a federal court in Chicago last week against an individual and the trading firm for


In rare instance, court grants plaintiff’s summary judgment motion on fraud claim
  • Katten Muchin Rosenman LLP
  • USA
  • October 10 2008

A federal district court adopted a U.S. magistrate judge’s recommendation to grant the Securities and Exchange Commission’s motion for summary judgment and to enter an order for a permanent injunction and disgorgement with prejudgment interest against a registered investment adviser as well as its president and 50 owner