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18 results found

Article

Katten Muchin Rosenman LLP | USA | 30 Jun 2019

Bank Subsidiary Agrees to Pay US $36.5 Million to Resolve Department of Justice and CFTC Enforcement Actions for Spoofing

Merrill Lynch Commodities, Inc. agreed to pay sanctions of US $36.5 million to settle allegations by the US Department of Justice and the Commodity

Article

Katten Muchin Rosenman LLP | USA | 12 May 2019

CFTC Sues Former Trader Previously Charged Criminally for Falsely Inflating Natural Gas Futures and Physical Trades

The Commodity Futures Trading Commission filed a lawsuit against David Smothermon, the former president and head trader of the gas division of an

Article

Katten Muchin Rosenman LLP | USA | 12 May 2019

CFTC Division of Enforcement Issues First Guide to Activities and Overview of General Policies and Procedures

For the first time in its history, the Commodity Futures Trading Commission’s Division of Enforcement issued a reference guide setting forth policies

Article

Katten Muchin Rosenman LLP | USA | 21 Apr 2019

SEC OCIE Makes No Secret of Need for Broker-Dealers and Investment Advisers to Up Their Procedures Regarding the Privacy of Customer Records and Information

The watchdog arm of the Securities and Exchange Commission - the Office of Compliance Inspections and Examinations - issued a Risk Alert summarizing

Article

Katten Muchin Rosenman LLP | USA | 14 Apr 2019

New York State Department of Financial Services Revokes Crypto Exchange’s Safe Harbor to Operate Without BitLicense

The New York State Department of Financial Services cancelled the temporary authority of a major cryptocurrency exchange to operate in New York

Article

Katten Muchin Rosenman LLP | USA | 2 Dec 2018

California Federal Court Rejects SEC’s View That Purportedly Fraudulent ICO Constituted a Security Offering - At Least for Now

The Securities and Exchange Commission’s view that most cryptoassets issued as part of initial coin offerings and presales to ICOs are securities was

Article

Katten Muchin Rosenman LLP | USA | 19 Nov 2018

Bridging the Week, CFTC Enforcement Division Lauds Success of FY 2018 Accomplishments; Says Goal Is to Foster "True Culture of Compliance"

In its annual report for the 2018 fiscal year, the Commodity Futures Trading Commission’s Division of Enforcement said that the “ultimate goal” of

Article

Katten Muchin Rosenman LLP | USA | 13 May 2018

Department of Justice Announces New Policy Aimed at Minimizing “Piling On”

In a speech last week before the New York City Bar White Collar Crime Institute, Rod Rosenstein, Deputy Attorney General of the United States

Article

Katten Muchin Rosenman LLP | USA | 22 Apr 2018

CFTC and Department of Justice Bring Legal Actions Against Operators of Alleged Fraudulent Scheme Involving Binary Options and a Virtual Currency

The Commodity Futures Trading Commission brought an enforcement action against Blake Kantor aka Bill Gordon and other defendants for purportedly

Article

Katten Muchin Rosenman LLP | USA | 15 Apr 2018

Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations

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

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