Christian Kemnitz

Katten Muchin Rosenman LLP

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Latest Posts › Financial Institutions

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FINRA Settles First Significant CAT Reporting Enforcement Action

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with...more

9/8/2023 / Broker-Dealer , Consolidated Audit Trail , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Markets , Financial Services Industry , Securities and Exchange Commission (SEC)

FINRA Proposes Changes to Arbitrator List Selection Process

The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by...more

3/22/2023 / Arbitration , Banks , Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Securities and Exchange Commission (SEC)

Second Circuit Rejects Probabilistic Pleading to Allege Actual Damage in Spoofing Cases

On July 20, the US Court of Appeals for the Second Circuit affirmed the dismissal of a putative class action alleging that certain market participants engaged in spoofing in violation of the Commodity Exchange Act, 7 U.S.C. §...more

8/2/2022 / Commodities , Commodity Broker , Financial Institutions , Putative Class Actions , Spoofing

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