Enforcement

Eichenauer and Sagent failed to disclose Eichenauer’s conflict of interest to SPIF investors in causing SPIF to use the Balanced Fund to lend Sagent money, ...

Merrill Lynch failed to supervise its response to CME Group’s inquiries from January 2010 through December 2010. Specifically, Merrill Lynch relied on the business operations ...

SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a compliance ...

The CFTC Complaint alleges that from approximately January 2014 through approximately January 2016, GBI and Gelfman, company Chief Executive Officer and Head Trader, operated a ...

Taking remedial actions have been shown to curry favor with SEC enforcement staff. The latest example of this comes with a strange twist.   The ...

Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...

The Commodity Exchange Act gives ample opportunities for smaller CPOs to avoid registration – but you must notify the NFA that you are claiming an ...

The kind of massive fraud alleged here is as mind boggling as it is disturbing. A defendant has not only been sued for fraud by ...

Monex offers leveraged trading in gold, silver, platinum and palladium to retail customers through its “Atlas” program. Monex deceptively pitches leveraged trading through the Atlas ...

Division staff issued to Ikon a second subpoena which identified seven specific EFP transactions and requested certain documents regarding those transactions. Ikon produced certain additional ...