RCW Staff

Beginning in March 2012, two months after he became trustee for the Trusts, through January 2016, Groom diverted a total of approximately $460,000 from the ...

SEC Obtains Final Judgments Against Three Former Executives of Brokerage Consulting Business in Transition Management Fraud Case Litigation Release No. 24549 / July 31, 2019 ...

The complaint further alleged that GTS assisted its customers – largely public pension funds – in handling large orders to buy and sell securities when ...

Writing uncovered call options was also among the options trading choices that clients could permit Firm A to engage in on their behalf. Writing uncovered ...

RELEASE Number 7988-19 July 31, 2019 CFTC Charges Trader with Spoofing in Financial Futures Markets Washington, DC — The U.S. Commodity Futures Trading Commission today ...

DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for ...

The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...

SEC Obtains Fraud Judgments Against Overseas Broker Dealer and Investment Manager Litigation Release No. 24546 / July 29, 2019 SEC v. Beaufort Secs. Ltd. and ...

RELEASE Number 7985-19 July 29, 2019   CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations ...