Regulatory Actions

The Blotter: Falcone, Harbinger settle with SEC for $18 million

Ginger Szala
August 23, 2013
This week's round up of regulatory actions taken by the SEC and CFTC.

The financial transaction tax: Panacea, pathogen, or just a bitter pill?

Steve Zwick
February 27, 2012
Several European countries are moving forward with plans to tax trades in equities and derivatives – a move that most say will reduce liquidity. Here’s why some say that’s not such a bad thing

NFA has new sheriffs in town

Daniel P. Collins
February 18, 2012
New NFA board members, Bry & Jaffarian, present plan to make MF Global customers whole and restore confidence in the industry.

New NFA members make waves

News Story
February 16, 2012
The two newest members on the board of the NFA wants the group to help make MF Global customers whole.

Court fines Ill. trader $6.6 million for cheating customers

Press Release
February 26, 2012
Federal court in Illinois orders former futures trader David Sklena to pay over $6.6 million for cheating customers

CFTC takes up swap compliance; rulemaking optimism waning

Michael J. McFarlin
February 22, 2012
The CFTC met to discuss rules related to swaps compliance and swap block trades in the 24th meeting for Dodd-Frank rules

CFTC orders Iowa man to pay more than $1 million for fraud actions

Press Release
February 22, 2012
CFTC orders Iowa resident Jeffrey J. Kinseth and his company, Virtual Vision Inc., to pay more than $1 million in restitution and penalties in fraud action

CFTC fines New York firm $140,000 for violating spec limits

Press Release
February 21, 2012
CFTC orders New York Firm D.E. Shaw & Co. L.P. to pay $140,000 penalty for violating soybean and corn futures speculative position limits

Goldman employee, father charged with insider trading

Press Release
September 21, 2011
The SEC’s Division of Enforcement alleges that Spencer D. Mindlin obtained non-public details about Goldman’s plans to purchase and sell large amounts of SPDR ETFs.

MF Global customers lose another round

Daniel P. Collins
January 31, 2012
Judge Martin Glenn ruled against a motion that would have given former MF Global customers priority rights over Chapter 11 creditors.