In a recent speech given at New York University’s School of Law, the Commodity Futures Trading Commission’s (CFTC’s) Director of Enforcement, Ian McGinley, unveiled a new advisory concerning penalties, monitors and admissions...more
On January 8, 2024, the U.S. Court of Appeals for the Fifth Circuit reversed a jury’s verdict in a Commodity Futures Trading Commission (“CFTC”) enforcement action against EOX Holdings, L.L.C. (“EOX”) and its employee, Andrew...more
1/15/2024
/ Affiliates ,
Appellate Courts ,
Block Trades ,
Brokers ,
CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Enforcement Actions ,
Insider Trading ,
Jury Verdicts ,
Reversal ,
Securities and Exchange Commission (SEC)
New guidance from the Commodity Futures Trading Commission[i] may significantly change the calculus for firms considering whether to settle an enforcement action. Requiring admission of wrongdoing in a greater number of...more