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Results: 1-10 of 1,765

US opposes effort of imprisoned trader to have Supreme Court consider overturning conviction for spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

The Department of Justice opposed the efforts of the first individual convicted of spoofing under a Dodd-Frank law to have the US Supreme Court hear


CFTC and CBOT Collectively Fine Floor Broker US $250,000 for Alleged Repeat Spoofing Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

The Commodity Futures Trading Commission and the Chicago Board of Trade collectively sanctioned a floor broker US $250,000 for purportedly engaging in spoofing trading activities


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not


Bridging the Week by Gary DeWaal: April 2 to 6 and April 9, 2018 (Kospi 200; Irrevocability; Virtual Currencies; CFTC Jurisdiction)
  • Katten Muchin Rosenman LLP
  • USA
  • April 8 2018

A United States appeals court said that the Commodity Exchange Act’s prohibition against spoofing and other conduct could potentially apply in


Brokerage Company Settles NY Charges Related to Nondisclosure of Order Execution Practices
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2018

Bank of America Corporation and Merrill Lynch, Pierce, Fenner and Smith Incorporated settled charges brought by the New York State Attorney General


SEC Considers NYSE Bitcoin Futures ETFs
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2018

The Securities and Exchange Commission announced that it would formally consider whether to approve or disapprove rule changes to authorize NYSE Arca


International Bank Agrees to Pay US $2 Billion to Resolve Federal Claims Related to Sales of Mortgage-Backed Securities
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2018

Barclays Capital, Inc. and several of its affiliates agreed to pay a fine of US $2 billion to resolve a civil action brought by the Department of


Pump and Dump Fraud Results in SEC Charges Against Broker-Dealer and Salesperson
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2018

Wedbush Securities Inc., a broker-dealer, and Timary Delorme, a registered representative with the firm since 1981, were named in separate


Broker-Dealer, CEO and AML Compliance Officer Settle SEC Charges for Not Filing Suspicious Activity Reports in Response to Red Flags
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2018

Two broker-dealers’ purported failure to act on red flags - both involving customer trading - resulted in separate Securities and Exchange Commission


CFTC Commissioner Condemns Commission Budget Cut
  • Katten Muchin Rosenman LLP
  • USA
  • March 25 2018

Rostin Behnam, Commissioner of the Commodity Futures Trading Commission, strongly condemned last week's decision by Congress to reduce the 2018 agency