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Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures

USA - July 15 2018 Lansing Trade Group, LLC agreed to pay US $6.55 million in aggregate fines to the Commodity Futures Trading Commission and the Chicago Board of Trade...


Whistleblower Receives US $30 Million Payment From CFTC - Largest Award to Date; SEC Proposed Updates to Its Whistleblower Rules

USA - July 15 2018 The Commodity Futures Trading Commission awarded its largest whistleblowing award to date - US $30 million - for providing key information that led to...


FINRA Asks Members to Volunteer Information Regarding Crypto-Asset Activity

USA - July 15 2018 The Financial Industry Regulatory Authority asked all member firms voluntarily to notify their FINRA Regulatory Coordinator in writing if they, any of...


SEC OCIE Discloses Common Deficiencies With Investment Advises’ Best Execution Obligations

USA - July 15 2018 The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a risk alert identifying...


Commodity Pool Operator Charged With Fraud in CFTC and Criminal Actions; Also Charged Criminally With Attempting to Obstruct CFTC Investigation

USA - July 15 2018 A criminal indictment naming commodity pool operator Harris Landgarten was filed in a federal court in Brooklyn, New York, last week, charging the...