RCW Staff

SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer Capital Group, LLC and ...

SEC Obtains Final Judgment Against Virginia Investment Adviser Charged with Fraud Litigation Release No. 24517 / June 27, 2019 Securities and Exchange Commission v. Amrit ...

The overcharges included expenses related to Society of Worldwide Interbank Financial Telecommunication (or “SWIFT”) messages, a secured messaging network used by banks and other financial ...

These proceedings involve a violation of the Municipal Securities Rulemaking Board’s (“MSRB”) “fair dealing” rule by Respondent in connection with a municipal bond offering. In ...

No-Action relief granted to registered floor traders from compliance with certain conditions in paragraph (6)(iv) of the "swap dealer" definition in CFTC regulation 1.3.

RELEASE Number 7948-19 June 27, 2019 Commodity Pool and its President Ordered to Pay $1.2 Million, Banned from Markets for Futures Fraud Washington, DC – ...

The Commission’s complaint alleged that, during the period from 2011 through 2014, Dean recommended to thirteen customers a pattern of high cost, in-and-out trading without ...

Chahal fraudulently solicited approximately $1.4 million from about 50 individuals by falsely claiming to be an experienced and successful trader who could generate above-market returns ...

The Order specifically finds that during the period from at least 2008 through 2014 certain traders at MLCI (Traders) placed orders to buy and sell ...

”The continued pursuit of various opportunistic strategies in the credit derivatives markets, including but not limited to those that have been referred to as ‘manufactured ...