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SEC Actions | USA | 13 Apr 2020
The First OCIE Inspection of Brokers Re Reg Best Interest
Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an…
Morrison & Foerster LLP | USA | 8 Apr 2019
MoFo New York Tax Insights
As we went to press, the New York State Legislature passed the New York State Budget Bill for 2019-20, containing several new and important tax…
Katten Muchin Rosenman LLP | USA | 30 Sep 2018
IB and Owners Resolve CFTC Charges for Unauthorized Trading by Former Employee
Kooima & Kaemingk Commodities, Inc., an introducing broker registered with the Commodity Futures Trading Commission, and two of its co-owners…
Katten Muchin Rosenman LLP | USA | 30 Sep 2018
Introducing Broker and Associated Person Charged by CFTC With Insider Trading
The Commodity Futures Trading Commission filed a lawsuit against EOX Holdings LLC, a Commission-registered introducing broker, and one of its…
Katten Muchin Rosenman LLP | USA | 23 Sep 2018
Introducing Broker and Principal Sanctioned by CFTC for Not Overseeing Unlawful Post-Trade Allocations of CTA Client
Global Access Advisors, LLC, an introducing broker, was subject to enforcement actions by both the Commodity Futures Trading Commission and the…
Katten Muchin Rosenman LLP | USA | 5 Aug 2018
CFTC and NFA Sanction FCM for Handling of Post-Trade Allocations by Trading Manager
R.J. O’Brien & Associates LLC - a Commodity Futures Trading Commission-registered Futures Commission merchant - agreed to pay US $750,000 in fines to…
Katten Muchin Rosenman LLP | USA | 15 Jul 2018
Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures
Lansing Trade Group, LLC agreed to pay US $6.55 million in aggregate fines to the Commodity Futures Trading Commission and the Chicago Board of Trade…
Katten Muchin Rosenman LLP | USA | 5 Jun 2018
NFA Warns FCMs and IBs About Not Complying With AML Requirements
The National Futures Association reminded Futures Commission merchants and introducing brokers to comply with their anti-money laundering requirements…
Baker Botts LLP | USA | 1 Mar 2018
Supreme Court Limits Scope of Avoidance Action Safe Harbor for Securities Transactions
A bankruptcy trustee or a debtor in possession has powers under the Bankruptcy Code to avoid certain transfers the debtor may have made prior to the…
Venable LLP | USA | 21 Feb 2018
SEC Issues Permanent No-Action Assurance to Futures Commission Merchant
On December 19, 2017, the Securities and Exchange Commission (the SEC) issued permanent no-action assurance (the "Letter") in connection with placing…
