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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


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


HK SFC Suspends Broker Eight Months for Transferring Proprietary Information and Company Date from Former to New Employer
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • June 25 2017

The Hong Kong Securities and Futures Commission barred Mr. Fok Chi Kin, a former vice president of JPMorgan Funds (Asia) Limited (JPFL), from engaging


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


CFTC Strengthens Protections for Whistle-Blowing While You Work
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its whistle-blowing rules to augment anti-retaliation protections for whistleblowers. Simultaneously


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

Lek Securities Corporation ("LEK"), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief executive officer, were sued by the