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52 results found

Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2018

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

A criminal indictment naming commodity pool operator Harris Landgarten was filed in a federal court in Brooklyn, New York, last week, charging the

Article

Katten Muchin Rosenman LLP | USA | 22 Apr 2018

California Federal Court Potentially Poised to Limit CFTC’s Dodd-Frank Fraud-Based Anti-Manipulation Authority in Monex Enforcement Action

The California federal court judge hearing the enforcement action by the Commodity Futures Trading Commission against Monex Deposit Company and other

Article

Katten Muchin Rosenman LLP | USA | 21 Jan 2018

CFTC Files Two Enforcement Actions Charging Fraud in Connection with Cryptocurrencies Sale Schemes

The Commodity Futures Trading Commission filed two enforcement actions in a federal court in Brooklyn, New York, alleging fraud and other law

Article

Katten Muchin Rosenman LLP | USA | 8 Oct 2017

Retail Metals Dealer Sued by CFTC for Not Fulfilling Delivery Obligations to Financed Customers Says Actual Delivery Was Made

Monex Deposit Company and two affiliated companies (collectively, "Monex") and Louis Cabrini and Michael Cabrini, the firms' principals, moved to

Article

Katten Muchin Rosenman LLP | USA, Canada, European Union, etc. | 6 Dec 2015

Bridging the Weeks by Gary DeWaal: November 23 - December 4 and 7, 2015 (Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud)

Compliance officers may be in the bullseye again as a result of new regulatory proposals introduced during the prior two weeks by the New York State

Article

Katten Muchin Rosenman LLP | USA | 5 Apr 2015

CFTC charges pastor used Peregrine Financial Group collapse as cover to help defraud congregants

The Commodity Futures Trading Commission sued Wesley Brown, Edward Rubin and Maverick International, Inc. in a federal court in Florida for

Article

Katten Muchin Rosenman LLP | USA | 8 Jul 2011

CFTC approves final rules under Dodd-Frank

At a July 7 meeting, the Commodity Futures Trading Commission approved five final rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Article

Katten Muchin Rosenman LLP | USA | 15 Apr 2011

CFTC and FTC sign MOU regarding sharing of non-public information

The Commodity Futures Trading Commission and the Federal Trade Commission (FTC) have signed a Memorandum of Understanding (MOU) to facilitate the sharing of non-public information between the agencies in connection with investigations into possible market manipulation.

Article

Katten Muchin Rosenman LLP | USA | 29 Oct 2010

CFTC announces multiple Dodd-Frank rulemakings

The Commodity Futures Trading Commission has issued five rule proposals and an advance notice of proposed rulemaking, five of which relate to rulemakings required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Article

Katten Muchin Rosenman LLP | USA | 12 Mar 2010

Group pleading improper in CFTC enforcement action

The Commodity Futures Trading Commission brought an enforcement action against several investment firms and affiliated individuals for the fraudulent operation of a foreign currency trading firm.

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