Penalties, CFTC | JD Supra Law News

CFTC Reiterates That “Wash Trades” Are “Grave Violations” In Penalizing Two Experienced Traders For Wash Trading

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 5/3/2013

On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide positions in the market, such as simultaneous purchases and sales designed to...more

DOJ Announces Criminal Charges And Penalties For LIBOR Manipulation, Regulators Announce Parallel Civil Enforcement Actions

by BuckleySandler LLP on 2/15/2013

On February 6, U.S. and U.K. authorities announced that a Japanese financial institution and its British bank parent company agreed to pay roughly $612 million to resolve criminal and civil investigations into the firms’ role...more

CFTC, Libor Usher In New Era Of Financial Penalties

by Felix Shipkevich | Shipkevich PLLC on 12/17/2012

The U.S. Commodity Futures Trading Commission (CFTC), in conjunction with the fallout from the Libor scandal, has recently upped the ante for financial penalties....more

Libor Fixing Probe – UBS Facing Potential $1 Billion Fine

by Sedgwick LLP on 12/16/2012

UBS, Switzerland’s largest bank, is set to become the second financial institution to enter into a settlement arising out of the Libor rate-fixing scandal. The potential agreement would reportedly allow UBS to pay...more

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

by Felix Shipkevich | Shipkevich PLLC on 12/5/2012

The U.S. Commodity Futures Trading Commission (CFTC) has issued a report stating that Judge Katherine Forest of the U.S. District Court for the Southern District of New York has ordered Forex Group, Forex Partners, and...more

Financial Services Bulletin: Senate, CFTC, and Fed Action

by Perkins Coie on 8/2/2012

In This Issue: Bi-Partisan Senate Bill Proposed to Authorize Larger SEC Penalties; The CFTC Proposes New Ownership and Control Reports Rules and Forms; The Fed Adopts Final Debit Card Fraud-Prevention Adjustment Rule;...more

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Penalties › Commodities Futures Trading Commission