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Results: 1-10 of 175

Again, ICE Futures U.S. Charges Spoofing Based on Single Large Orders on One Side of Market
  • Katten Muchin Rosenman LLP
  • USA
  • August 27 2017

For the second week in a row, ICE Futures U.S. settled a disciplinary action based on allegations of spoofing, where the alleged wrongful conduct


Former Portfolio Manager’s Conviction for Insider Trading Upheld by Federal Appeals Court Despite Same Court’s Prior Contrary Reasoning
  • Katten Muchin Rosenman LLP
  • USA
  • August 27 2017

A former portfolio manager’s conviction for insider trading was upheld by a federal appeals court, which in so ruling, admittedly stepped back from


Model State Law Regarding Virtual Currency Businesses Virtually Finalized
  • Katten Muchin Rosenman LLP
  • USA
  • August 20 2017

In mid-July a model law for the regulation of virtual currency businesses was adopted by the National Conference of Commissioners on Uniform State


Federal Court Rejects CFTC Request for Permanent Trading Ban Against Energy Trader Who Falsely Altered Employer’s Records
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2017

A federal court in New York City denied a request by the Commodity Futures Trading Commission to permanently bar Fan Wang, a former energy trader


Trader Settles COMEX Disciplinary Actions for Failure to Supervise Employee’s Purported Spoofing Activity
  • Katten Muchin Rosenman LLP
  • USA
  • July 30 2017

Focus and Vision General Trading LLC and a trader it employed, Vivek Jain, agreed to resolve a disciplinary action brought by the Commodity Exchange


Use in US Trial of Testimony Compelled From Two LIBOR Traders in the UK Tanks Their US Conviction for Manipulation; Criminal Charges Dropped Against Two Traders in London Whale-Related Prosecution
  • Katten Muchin Rosenman LLP
  • USA
  • July 23 2017

A US Federal Court of Appeals sitting in New York City set aside the convictions of Anthony Allen and Anthony Conti, two former Rabobank traders, for


Two Firms Settle CME Group Exchanges’ Charges That They Entered Into Contingent EFRPs
  • Katten Muchin Rosenman LLP
  • USA
  • July 23 2017

A Chicago Board of Trade and a Chicago Mercantile Exchange member each agreed to settle disciplinary actions charging that they entered into exchange


CFTC Inks Non-Prosecution Agreements With Three Traders Who Admit to Spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • July 9 2017

The Commodity Futures Trading Commission entered into non-prosecution agreements with three individual traders formerly associated with a futures


SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

David Liew, a former junior trader that many media sources have indicated was based in Singapore and associated with Deutsche Bank, pleaded guilty in