Gillian Lindsay Whittlesey

Gillian Lindsay Whittlesey

BakerHostetler

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An Instant Message from the CFTC: Preserve Communications – Enforcement Is Up!

The U.S. Commodity Futures Trading Commission (“CFTC”) released its annual enforcement review for 2014. The results—an impressive list of enforcement action success coupled with record fines. There were over $3.27 billion in...more

11/18/2014 - Brokers CFTC Dodd-Frank Enforcement Actions Enforcement Statistics Penalties Recordkeeping Requirements

Seventh Circuit Ruling Reaffirms: The Financial Industry Compliance Crackdown Continues

The need for risk and compliance officers is skyrocketing as lenders and financial market participants remain under strict scrutiny in the wake of the 2008 financial crisis. J. P. Morgan Chase & Co. recently announced plans...more

5/16/2014 - Compliance Enforcement Actions FINRA JPMorgan Chase SEC

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