Articles: 1-10 of 292
CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm
USA - December 23 2025 On December 15, 2025, the Commodity Futures Trading Commission (“Commission” or “CFTC”) agreed to dismiss with prejudice its enforcement action…
CFTC Announces Reforms To Rules Of Practice And Investigations
USA - December 17 2025 On December 1, 2025, the Commodity Futures Trading Commission ("CFTC" or "the Commission") announced amendments to its Rules of Practice and Rules…
Private Equity Firm Pays Over $11 Million To Settle Russia-Related Sanctions With OFAC
Russia, USA - December 17 2025 On December 2, 2025, the U.S. Department of the Treasury's Office of Foreign Assets Control ("OFAC") announced an $11,485,352 settlement with a…
FINRA Fines Brokerage Firm $10M for Lavish Gifts and Entertainment
USA - November 11 2025 On November 3, 2025, the Financial Industry Regulatory Authority (“FINRA”) announced a $10 million sanction against a brokerage firm for alleged…
Fifth Circuit Judge Renews Scrutiny Of FCA’s Qui Tam Constitutionality
USA - November 11 2025 On November 3, 2025, the United States Court of Appeals for the Fifth Circuit affirmed the dismissal with prejudice of an action under the False…
Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling
USA - October 15 2025 On October 3, 2025, the United States Court of Appeals for the Sixth Circuit issued a decision granting FirstEnergy Corporation’s (“FirstEnergy”)…
SEC Restores Practice Of Considering Settlement Offers Conditioned On The Issuance Of Collateral Consequence Waivers
USA - September 30 2025 On September 26, 2025, Securities and Exchange Commission ("SEC" or the "Commission") Chairman Paul Atkins issued a Statement on Simultaneous…
CFTC Sole Democratic Commissioner Kristin Johnson To Leave The Commission
USA - September 16 2025 On August 26, 2025, the Commodity Futures Trading Commission (“CFTC”) announced that Commissioner Kristin Johnson will step down, effective September…
SEC Launches Cross-Border Fraud Task Force, Signaling An Initial Focus On China
China, USA - September 16 2025 On September 5, 2025, the U.S. Securities and Exchange Commission (“SEC”) announced the formation of a Cross-Border Task Force within its Division of…
First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines
USA - August 26 2025 On August 7, 2025, the United States Department of Justice, Criminal Division, Fraud Section (“DOJ”) issued a declination letter to a U.S.-based…
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