Tag: Enforcement Action

CFTC Announces First Whistleblower Award

Felix Shipkevich

EU Anticipates Issues with New European Derivatives Rules

Felix Shipkevich

CFTC Charges Principal Trading Organization for “Banging the Close” and “Spoofing”

Felix Shipkevich

Division of Enforcement Director to step down in October

Felix Shipkevich

CFTC Ends Five Year Investigation of Silver Market

Felix Shipkevich

SEC Approves Using Facebook and Twitter to Alert Investors

Felix Shipkevich

Sommers Criticizes CFTC’s Approach to Dodd-Frank Rule Implementation

Felix Shipkevich

CFTC Seeks to Revoke Registration of Crabapple Capital for $1m Fraud

Felix Shipkevich

CFTC Enforcement Watch for 2013: Commodity Pool Scams, Rate-Rigging…

Felix Shipkevich

CFTC Issues No-Action Relief for Banks, Brokers, Advisors…

Felix Shipkevich

CFTC Continues Wave of Relief with Exemption for Foreign-Owned Banks

Felix Shipkevich

CFTC Slowing Down?: More Deferrals for Swaps, Business Conduct Rules

Felix Shipkevich

CFTC, Libor Usher in New Era of Financial Penalties

Felix Shipkevich

CFTC Charges Arista LLC with $9.5 Million Commodity Pool Fraud

Felix Shipkevich

CFTC Struggles to Find the Rhythm of Regulation

Felix Shipkevich

CFTC Update: Federal Court Orders Forex Capital, Highland Stone Capital to Pay $1.8m

Felix Shipkevich

CFTC Enforcement Blitz: Eagle, Intrade, Cantor, Harbor Light

Felix Shipkevich

SEC Update: Mary Schapiro Steps Down, Elisse Walter New Chairwoman

Felix Shipkevich