United States: Interdealer Brokers Settle CFTC Charges For "Flying" Prices And "Printing" Trades - Cadwalader, Wickersham & Taft LLP

Mondaq

18 Dec 2020 0 shares 1 views

Mondaq

Published 18 Dec 2020

The CFTC also settled charges for supervisory failures against the former CEO and head of a trading desk of one of the firms.

United States: Broker-Dealer Settles NYSE Charges For Executing Orders With Multiple Floor Brokers - Cadwalader, Wickersham & Taft LLP

A broker-dealer settled NYSE charges for executing orders with more than one floor broker on the account of the same principal.

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An energy trading firm (the "Firm") entered into a deferred prosecution agreement with the DOJ and settled a parallel..

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