News & Analysis as of

Misappropriation › Civil Monetary Penalty › Commodities Futures Trading Commission

Ogletree, Deakins, Nash, Smoak & Stewart,...

CFTC Fines Commodities Trader $55 Million in First-Ever Whistleblower Rule Enforcement Action

Ogletree, Deakins, Nash, Smoak & Stewart,... on

The Commodity Futures Trading Commission (CFTC) has joined the list of federal agencies targeting employment nondisclosure agreements and other restrictive covenants that allegedly restrict employees from making reports to...more

Katten Muchin Rosenman LLP

Bridging The Week - October 2019 #2

Katten Muchin Rosenman LLP on

A broker-dealer and its chief executive officer settled charges brought in 2017 by the Securities and Exchange Commission that the firm facilitated manipulative conduct by a customer, despite being alerted by regulators and...more

Hogan Lovells

US court orders operator of fraudulent crypto scheme to pay £1.9 million

Hogan Lovells on

What has happened? A US federal court has ordered Dillon Michael Dean and his UK-registered company, The Entrepreneurs Headquarters Ltd (TEH), to pay over $1.9 million in "civil monetary penalties and restitution"....more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Recoupment of Civil and Criminal Penalties under Bankruptcy Code

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the defendant – who had pleaded guilty in a criminal case to one count of fraud under the Commodity Exchange Act (CEA) and one count of money laundering,...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide