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Energy Enforcement Update
  • Sidley Austin LLP
  • USA
  • October 22 2018

On September 28, the CFTC announced that it was creating the Insider Trading & Information Protection Task Force, a coordinated effort across the

Energy Enforcement Update - 24 July 2017
  • Sidley Austin LLP
  • USA
  • July 24 2017

On July 19, the U.S. Court of Appeals for the Second Circuit issued an order reversing the convictions of ex-Rabobank traders Anthony Allen and

The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waivers
  • Dykema Gossett PLLC
  • USA
  • July 14 2017

On July 10, 2017, the Consumer Financial Protection Bureau (CFPB) dropped the other shoe and issued final rules prohibiting “providers of consumer

SEC Disgorgement Limits Should Apply To FERC And CFTC
  • Steptoe & Johnson LLP
  • USA
  • June 9 2017

On June 5, 2017, the US Supreme Court ruled that the five-year statute of limitations in 28 U.S.C. 2462 applies to

Supreme Court Applies Statute of Limitations to SEC Disgorgement Orders
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • June 7 2017

In a unanimous decision issued on June 5, 2017, the U.S. Supreme Court, in Kokesh v. SEC, 581 U.S. ___, held that disgorgement in securities

Federal Appellate Court Affirms CFTC’s Decision To Deny Tolling Statute of Limitations During Pendency of NFA Arbitration
  • Ulmer & Berne LLP
  • USA
  • June 7 2017

In a May 25, 2017 decision, the U.S. Court of Appeals for the Seventh Circuit affirmed a Commodity Futures Trading Commission (CFTC) Opinion and Order

SEC enforcement quarterly - 4th quarter 2017
  • Sidley Austin LLP
  • USA
  • February 6 2017

The SEC finished its 2016 Fiscal Year with a continued emphasis on bringing enforcement actions across numerous areas of the federal securities laws

The Supreme Court May Review Whether Regulatory Enforcement Actions Seeking Disgorgement are Subject to a Five-Year Statute of Limitations
  • Cadwalader Wickersham & Taft LLP
  • USA
  • January 4 2017

Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the

Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended

2016 Mid-Year Securities Litigation and Enforcement Highlights
  • Baker & Hostetler LLP
  • USA, Ireland
  • July 29 2016

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide