To read Bridging the Week, click here.
This week's issue addresses the following topics:
- NJ-Based Trader Previously Sanctioned by UK FCA, CFTC and CME Indicted in Chicago for Same Spoofing Offenses
- CFTC Obtains Consent Order Imposing US $1.56 Million Penalty on Eric Moncada for Attempting to Manipulate Wheat Futures
- Bank of America Agrees to US $7.65 Million SEC Fine to Settle Charges for Misstatement of Regulatory Capital;
- DC Court Dismisses Challenge to SEC Restrictions on Asset Managers’ Political Contributions;
- Trader Sued by CFTC for Violating Voluntary Agreement Not to Trade Futures Contracts During Closing Periods
- Court Rejects NYMEX Claim It Can’t Be Liable to CFTC for Improper Disclosure of Nonpublic Information by Ex-Employees
- CFTC Sanctions Trader for Pre-Arranged Trading That Resulted in Profits to Mom
- CFTC Seeks to Bar Admitted Embezzler and His Company From Registration After He Allegedly Fails to Disclose Crimes on His Registration Application
- MFA Offers Recommendations to Improve Equity Market Structure, Including Increasing Disclosure and Transparency
New York
