US Legal & Regulation

CFTC charges Texas duo with fraud in multi-million dollar forex scheme

Wed, 27/05/2009 - 12:34

The US Commodity Futures Trading Commission has charged Robert D. Watson, an executive professor at Texas A&M University, Daniel J. »

CFTC proposes changes to regulations for investment of funds deposited with clearing organisations and futures commission merchants

Mon, 25/05/2009 - 09:00

The Commodity Futures Trading Commission (CFTC) is seeking public comment on proposals to change its regulations regarding customer funds deposited »

Kenneth Branch and Cocoon Trade fined USD1.5m in fraud action

Thu, 21/05/2009 - 17:00

The US Commodity Futures Trading Commission has entered orders against Kenneth L. »

CII applauds SEC for championing proxy access

Thu, 21/05/2009 - 14:07

The Council of Institutional Investors has applauded the Securities and Exchange Commission for proposing ways to make it easier for shareowners to nominate their own candidates for dir »

SEC proposals aim to strengthen safeguards of investor funds

Fri, 15/05/2009 - 16:04

The Securities and Exchange Commission has proposed rule amendments that aim to substantially increase protections for investors who entrust their money to investment advisers. »

Michigan resident fined USD300,000 in sanctions for defrauding clients

Thu, 14/05/2009 - 15:42

The US Commodity Futures Trading Commission has obtained an order against Steven G. »

Michael Lauer to pay over USD62m in hedge fund fraud case

Tue, 12/05/2009 - 16:46

The Securities and Exchange Commission has announced that Michael Lauer, the head of two Connecticut-based hedge fund advisors, has been ordered to pay more than USD62m within 15 days a »

SEC charges operators of Reserve Primary Fund with fraud

Thu, 07/05/2009 - 14:00

The Securities and Exchange Commission has filed civil fraud charges against the operators of the Reserve Primary Fund, the money market fund that »

SEC charges two in first ever CDS insider trading case

Wed, 06/05/2009 - 13:10

The US Securities and Exchange Commission (SEC) has charged hedge fund manager Renato Negrin and bond salesman Jon-Paul Rorech with insider trading »

SEC freezes assets of investment manager Danny Pang over alleged Ponzi scheme

Fri, 01/05/2009 - 17:24

The Securities and Exchange Commission has obtained an emergency court order freezing the assets of Newport Beach, California-based investment manager Danny Pang and his two companies f »