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Misappropriation › Brokers

White & Case LLP

CFTC Jurisdiction Over Cryptocurrency – Implications for Industry Participants

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On October 10, 2019, CFTC Chairman Heath Tarbert commented on Ether’s status as a commodity: “We’ve been very clear on bitcoin: bitcoin is a commodity under the Commodity Exchange Act. We haven’t said anything about Ether –...more

Seyfarth Shaw LLP

FINRA Issues Guidance on the Handling of Customers When a Broker Leaves a Firm

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The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm....more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed...more

Patterson Belknap Webb & Tyler LLP

Stanwich Clarifies Wagoner Rule in Fraudulent Transfer Cases

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In the Second U.S. Circuit, the so-called Wagoner rule deprives a trustee of standing to sue third parties, such as lawyers and investment bankers, if the bankrupt corporation participated with them in defrauding creditors. A...more

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