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  • Broker-Dealer Sanctioned US $415 Million by SEC for Violating Customer Protection Requirements
  • CFTC Receives 18 Formal Comment Letters in Response to Staff Reg AT Roundtable; Myriad of Issues Raised
  • SEC Sues UK Resident Accused of Hacking Brokerage Accounts of US Persons to Place Unauthorized Trades
  • One FCM Agrees to CME Group Settlement for Pre-Hedging Block Trades and Another for Entering Into Wash Sales to Help Client Freshen Positions for Deliveries
  • Broker-Dealer Agrees to Pay US $275,000 to Resolve Faulty Short-Interest Reporting FINRA Disciplinary Action
  • Exchange Issues Warning to Trading Firm for Non-Intentional Sell Instead of Buy Order of Electricity Futures Relying on Its Market Manipulation Prohibition
  • Brexit—UK Votes to Leave EU
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