Enforcement

One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO.   In a new settlement, ...

Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...

Toole incorporated his companies in Texas and Georgia, all of which operated as separate, consecutive commodity pools and which primarily traded Chicago Mercantile Exchange Euro ...

Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...

Even though Daniel Winston LaMarco calls a prison cell home, he’ll have to deal with the CFTC charging him with running a Ponzi scheme and ...

LaMarco fraudulently solicited and accepted $1,492,650 from 13 individuals to trade off-exchange leveraged or margined retail derivatives forex contracts in a commodity pool operated by ...

The non-prosecution agreements set forth how each trader employed a spoofing strategy that involved entering a large brief order (with the intent to cancel the ...

The SEC’s still not commenting on its monumental defeat in the U.S. Supreme Court with a decision that slaps a five-year statute of limitations on ...

Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...

Liew, on numerous occasions, acting individually and in coordination with other traders on the precious metals trading desk of Financial Institution 1, placed orders to ...