Enforcement

Suite and STA Opus fraudulently solicited customers by falsely representing that STA Opus’ commodity pool had positive annual rates of return, when in fact, ...

In the wake of the landmark Kokesh v. SEC decision, the Commission’s Enforcement division will redouble its efforts to bring cases as swiftly as possible, ...

The commodity futures trading laws generally require that futures trades be executed on a futures exchange. However, the laws allow for exceptions to that requirement, ...

While the ultimate impact of Kokesh on SEC enforcement as a whole – and FCPA enforcement specifically – remains to be seen, we have no ...

Cargill, a provisionally registered swap dealer, provided hundreds of counterparties and its SDR with mid-market marks on thousands of complex swaps that failed to comply ...

He did not disclose material information about himself and CRCP to his investors and potential investors, including that he had no experience managing a hedge ...

Morgan Stanley omitted mandatory futures and options data from its Part 17 Large Trader reports to the CFTC. These omissions were the result of four ...

Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...

Nearly three years after the SEC charged Howard Present, CEO of the ill-fated advisory firm F-Squared Investments, a federal jury has found Present liable for ...

Allensworth began working with Weddle to solicit investments in the JustInfo LLC pool. The Complaint alleges that Allensworth and Weddle used fake trading statements and ...