Enforcement

LaMarco fraudulently solicited and accepted $1,492,650 from 13 individuals to trade off-exchange leveraged or margined retail derivatives forex contracts in a commodity pool operated by ...

The non-prosecution agreements set forth how each trader employed a spoofing strategy that involved entering a large brief order (with the intent to cancel the ...

The SEC’s still not commenting on its monumental defeat in the U.S. Supreme Court with a decision that slaps a five-year statute of limitations on ...

Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...

Liew, on numerous occasions, acting individually and in coordination with other traders on the precious metals trading desk of Financial Institution 1, placed orders to ...

The SEC submitted a 2018 fiscal year budget request of $1.602 billion on May 23—a budget level that is essentially flat when compared with its ...

Years of wrangling over the constitutionality of the SEC’s ALJ setting appears to be coming to a head. Ten appeals court judges heard arguments May ...

In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...

The Court found that the Defendants falsely represented to customers and prospective customers that the Defendants’ trading system had “never had a losing month,” and ...

You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm.   That appears to ...