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Results:1-10 of 9,189

Broker-Dealer Consents to Business Exit and US $800,000 Fine to Resolve SEC Charges for Not Reporting Suspicious Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • September 30 2018

COR Clearing LLC agreed to restrict its penny stock clearing business as well as pay a fine of US $800,000 to resolve charges by the Securities and


Two Firms Agreed to Fines Imposed by CFTC for Attempting to Manipulate ISDAFIX Benchmark
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

Two more firms consented to fines by the Commodity Futures Trading Commission for their roles in attempted manipulation of the ISDAFIX benchmark. ICAP


CFTC orders BNP Paribas to pay $90 million penalty for attempted manipulation and false reporting of U.S. Dollar ISDAFIX benchmark swap rates.
  • Sidley Austin LLP
  • USA
  • September 17 2018

On August 29, the CFTC issued an order filing and settling charges against BNP Paribas Securities Corp. (BNP Paribas) for attempted manipulation of


Considerations for banks in preparing for the end of LIBOR
  • Kane Russell Coleman Logan PC
  • USA, United Kingdom
  • September 10 2018

On July 27, 2017, Andrew Bailey, the head of the U.K. Financial Conduct Authority (FCA), surprised the banking industry (and other financial markets)


Bank and Broker-Dealer Affiliate Agree to US $5.75 Fine Million for Rogue Trading by Three Traders
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2018

Citigroup Global Markets Inc. and Citigroup Inc. agreed to pay a fine of US $5.75 million to the Securities and Exchange Commission in connection with the separate...


Jury Award of Emotional Distress Damages Must Be Reduced by Millions, Judge Rules
  • Jackson Lewis PC
  • USA
  • July 31 2018

A federal judge in New York has ruled that a plaintiff could recover only a small portion of the $2.5 million a jury awarded him, granting the


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


Blockchain Tokens as Compensation
  • Jackson Lewis PC
  • USA
  • June 20 2018

Blockchain is a revolutionary technological tool in the way it tracks and stores data, decentralizes information, establishes trust in electronic


Preparing Australian employers for increases in employment class action lawsuits
  • Seyfarth Shaw LLP
  • USA
  • June 20 2018

Employment class action lawsuits are a common cause of action in North America, and while we have traditionally seen fewer in Australia, there has


Broker-Dealer Agrees to Pay Back Customers US $10.5 Million and Remit Fine of US $5.2 Million for Not Supervising Salespersons Who Purportedly Misled Customers Regarding Mortgage-Backed Securities Prices
  • Katten Muchin Rosenman LLP
  • USA
  • June 17 2018

Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a fine in excess of US $5.2 million and reimburse customers in excess of US $10.5 million to