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Bridging the Week

Newsletter | January 9, 2017

To read this week's Bridging the Week, click here.

  • John Corzine Agrees to US $5 Million Fine and Registration Ban To Settle CFTC Charges Related to Collapse of MF Global; Edith O'Brien to Pay US $500,000
  • Non-US Traders Criminally and Civilly Charged With Trading on Nonpublic Information Cyber-Hacked From Law Firms
  • Firm Fined by ICE Futures US for ATS Gone Bad; NYMEX Summarily Denies Access to Member for Knowingly Submitting Inaccurate TAS Orders
  • Two Companies Charged by SEC for Whistleblower Infractions
  • FINRA Sanctions 12 Member Firms for Failure To Maintain Electronic Records in Required Format
  • Investment Bank Agrees To Pay US $120 Million To Resolve Charges That It Attempted To Manipulate IRS Benchmark
  • Tenth Circuit Holds SEC Administrative Tribunals Unconstitutional
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