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  • Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally
  • Causing "Atypical Price Activity" in Gold Futures Results in US $200,000 Fine by COMEX
  • Former MF Global Broker Agrees to US $500,000 CFTC Fine for Attempting to Manipulate Palladium and Platinum Settlement Prices From 2006 Through 2008
  • SEC Sanctions Thirty-Six Underwriting Firms More Than US $9 Million for Misleading Offering Statements
  • FCM Broker Fined US $1.2 Million by CFTC for Unauthorized Swaps Trading for Customer
  • Business and Principals Stopped by SEC From Transacting in OTC Security-Based Swaps With Retail Persons
  • Investment Adviser and Mutual Fund Board Members Sued by SEC for Inadequate Advisory Contract Approval Process
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