RCW Staff
CFTC Charges Former Natural Gas Head Trader with Fraudulently Mismarking Futures and Physical Trades
Smothermon falsely inflated the value of the trading book he oversaw in his role as head trader of the company’s natural gas division in order ...
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers. ...
Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged ...
Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...
Although “D” and “A” are not under common control, and neither “D” nor “A” controls the other, they will remain jointly and severally liable for ...
Based upon the representations made in the Correspondence, the Division will not recommend that the Commission commence any enforcement action against “A” for failure to ...
Rocco Roveccio, a New Jersey resident, recommended to seven customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers ...
Corinthian misused the assets in a private equity fund, Corinthian Equity Fund II, LP (“CEF 2”) that it advised to the advantage of Corinthian and ...
Roveccio recommended to seven customers – Customers 5 through 11 – a pattern of high cost, in-and-out trading without any reasonable basis to believe ...