Two trading firms within a group structure were fined US $2 million in aggregate by the Commodity Futures Trading Commission for alleged violations of various provisions of law and CFTC rules related to their cotton futures...more
FINRA Announces 2018 Examination Priorities; Will Review Role of Firms and Salespersons in Facilitating Cryptocurrency Transactions and ICOs: The Financial Industry Regulatory Authority issued its 2018 Regulatory and...more
Backers of Tezos Initial Coin Offering Named in Prospective Class Action Litigation: On October 25, the promoters of a highly successful initial coin offering to support development of the Tezos blockchain project and other...more
11/13/2017
/ Blockchain ,
CFTC ,
Class Action ,
Consolidated Audit Trail ,
Disclosure Requirements ,
Disruptive Trading Practices ,
Initial Coin Offering (ICOs) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Wash Trades
Court Permits Customer and IB Claims to Proceed Against U.S. Bank Over Peregrine Collapse -
A US federal court in Illinois authorized two lawsuits arising from the collapse of Peregrine Financial Group to proceed...more
9/30/2014
/ Banks ,
Barclays ,
CFTC ,
Class Action ,
Derivatives ,
Enforcement Actions ,
Insolvency ,
Peregrine Financial Group ,
Securities and Exchange Commission (SEC) ,
Swaps ,
US Bank