RCW Staff

RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The Commodity Futures Trading Commission ...

SEC Charges Two Individuals for Fraud and Issuer for Unregistered Sale of Securities Litigation Release No. 24526 / July 1, 2019 U. S. Securities and ...

According to his plea agreement and the indictment, the securities fraud counts to which Moter pleaded guilty were premised on his operation of a fraudulent ...

On Behn’s recommendation, approximately 40 of Behn’s advisory clients invested more than $7 million in securities issued by Aequitas Commercial Finance, LLC (“ACF”), one of ...

Based on Eris Clearing’s representations, it is the Division’s understanding that Eris Clearing would not need to perform monthly stress testing, because it would ensure ...

RELEASE Number 7954-19 July 1, 2019 CFTC Grants DCO Registration to Eris Clearing, LLC Washington, DC —The Commodity Futures Trading Commission (CFTC or Commission) announced ...

RELEASE Number 7953-19 July 1, 2019 CFTC Announces $2 Million Award to Joint Whistleblowers Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today ...

Baby on Board: Remarks before the Society for Corporate Governance National Conference Commissioner Hester Peirce San Diego, California June 28, 2019 A few months ago ...

The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making false ...

Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman J. Christopher Giancarlo and Securities and ...