Category: U.S. News » Law Enforcement

CFTC Division of Market Oversight Issues No-Action Relief from Certain Timing Requirements Regarding SEF Chief Compliance Officer Annual Compliance Reports and Fourth Quarter Financial Reports

1:32 pm Eastern | U.S. News

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CFTC Commissioner Behnam to Discuss his Priorities with the DC Bar

11:26 am Eastern | U.S. News

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Federal Court Sanctions Gerard Suite and STA Opus LLC for Commodity Pool Fraud and Frank Collins for Misappropriation of Customer Funds

17 Nov 15:25 | U.S. News

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SEC Announces Agenda and Panelists for the 36th Annual Small Business Forum

16 Nov 14:45 | U.S. News

The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation. The November 30 event will begin at 9 a.m. Central Standard Time (10 a.m. Eastern Standard Time) with opening remarks from the SEC Chairman and Commissioners followed by a morning panel discussion that will explore how capital formation options are working for small businesses.  Panelists will include representatives of Texas-based small businesses and advisors to the small business community. Following the morning panel discussion, attendees will work in groups to formulate specific policy recommendations.  These breakout groups will develop recommendations on a variety of issues related to small business capital formation, including exempt securities offerings and smaller registered offerings. As the Commission previously read more »

SEC Enforcement Division Issues Report on Priorities and FY 2017 Results

15 Nov 17:00 | U.S. News

In its ongoing efforts to protect Main Street investors, the Securities and Exchange Commission’s Enforcement Division today issued a report highlighting its priorities for the coming year as well as a review of enforcement actions that took place during FY 2017.  In the report, Co-Directors Stephanie Avakian and Steven Peikin stated their overall enforcement approach: “Vigorous enforcement of the federal securities laws is critical to combat wrongdoing, compensate harmed investors, and maintain confidence in the integrity and fairness of our markets.” They also stated five core principles that will guide their enforcement decision-making:  focus on the Main Street investor; focus on individual accountability; keep pace with technological change; impose sanctions that most effectively further enforcement goals; and constantly assess the allocation of resources. read more »

Remarks of Chairman J. Christopher Giancarlo to the Singapore FinTech Festival

14 Nov 23:06 | U.S. News

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Remarks of CFTC Commissioner Rostin Behnam at the Georgetown Center for Financial Markets and Policy

14 Nov 16:26 | U.S. News

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CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief for Swap Execution Facilities from Certain Block Trade Requirements

14 Nov 15:31 | U.S. News

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CFTC Orders INTL FCStone Financial Inc. and FCStone Merchant Services LLC to Pay Penalty for Unlawful Exchange for Related Position Transactions

14 Nov 14:16 | U.S. News

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CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil’s NYMEX-cleared Swaps Position

14 Nov 10:41 | U.S. News

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Oklahoma City man sentenced to 188 months in federal prison for his role in the robbery of Haltom’s Jewelers

13 Nov 16:00 | U.S. News

Dallas News has been updated: https://www.fbi.gov/contact-us/field-offices/dallas/news/press-releases/oklahoma-city-man-sentenced-to-188-months-in-federal-prison-for-his-role-in-the-robbery-of-haltoms-jewelers

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Former Chief Financial Officer Of American Realty Capital Partners Sentenced For Accounting Fraud

13 Nov 15:56 | U.S. News

New York News has been updated: https://www.fbi.gov/contact-us/field-offices/newyork/news/press-releases/former-chief-financial-officer-of-american-realty-capital-partners-sentenced-for-accounting-fraud

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Man who “sextorted” 12-year-old girl receives 10-year prison sentence

13 Nov 15:53 | U.S. News

Atlanta News has been updated: https://www.fbi.gov/contact-us/field-offices/atlanta/news/press-releases/man-who-sextorted-12-year-old-girl-receives-10-year-prison-sentence

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Former Director Of Fixed Income And Head Of Portfolio Strategy At The New York State Common Retirement Fund Pleads Guilty In “Pay-For-Play” Bribery Scheme

13 Nov 15:53 | U.S. News

New York News has been updated: https://www.fbi.gov/contact-us/field-offices/newyork/news/press-releases/former-director-of-fixed-income-and-head-of-portfolio-strategy-at-the-new-york-state-common-retirement-fund-pleads-guilty-in-pay-for-play-bribery-scheme

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Burleson man sentenced on child pornography charges

13 Nov 15:52 | U.S. News

Dallas News has been updated: https://www.fbi.gov/contact-us/field-offices/dallas/news/press-releases/burleson-man-sentenced-on-child-pornography-charges

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Grand Jury indicts nine Bloods Street gang members for several violent robberies

13 Nov 15:49 | U.S. News

Dallas News has been updated: https://www.fbi.gov/contact-us/field-offices/dallas/news/press-releases/grand-jury-indicts-nine-bloods-street-gang-members-for-several-violent-robberies

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Baltimore Man Pleads Guilty To Robbery With Member Of The Baltimore Police Gun Trace Task Force

13 Nov 15:43 | U.S. News

Baltimore News has been updated: https://www.fbi.gov/contact-us/field-offices/baltimore/news/press-releases/baltimore-man-pleads-guilty-to-robbery-with-member-of-the-baltimore-police-gun-trace-task-force

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Plainville Man Sentenced to 5 Years in Prison for Distributing Crack

13 Nov 15:43 | U.S. News

New Haven News has been updated: https://www.fbi.gov/contact-us/field-offices/newhaven/news/press-releases/plainville-man-sentenced-to-five-years-in-prison-for-distributing-crack

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Lebanese National Indicted for Cybercrimes

13 Nov 15:35 | U.S. News

Jackson News has been updated: https://www.fbi.gov/contact-us/field-offices/jackson/news/press-releases/lebanese-national-indicted-for-cybercrimes

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Acting Manhattan U.S. Attorney Announces Initial Distribution Of More Than $770 Million To Victims Of Madoff Ponzi Scheme

13 Nov 15:32 | U.S. News

New York News has been updated: https://www.fbi.gov/contact-us/field-offices/newyork/news/press-releases/acting-manhattan-us-attorney-announces-initial-distribution-of-more-than-770-million-to-victims-of-madoff-ponzi-scheme

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Federal Jury Convicts Andrews Electrician of a False Billing Scheme and for Failing to File Tax Returns

13 Nov 15:31 | U.S. News

El Paso News has been updated: https://www.fbi.gov/contact-us/field-offices/elpaso/news/press-releases/federal-jury-convicts-andrews-electrician-of-a-false-billing-scheme-and-for-failing-to-file-tax-returns

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Federal Court Orders Arizona Resident Derek Springfield and His Company, Draven, LLC, to Pay over $ 2.2 Million in Restitution and a Penalty in CFTC Anti-Fraud Action

13 Nov 15:31 | U.S. News

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Louisville Business Owner Convicted Of Defrauding A United States Department Of Agriculture Program

13 Nov 15:29 | U.S. News

Louisville News has been updated: https://www.fbi.gov/contact-us/field-offices/louisville/news/press-releases/louisville-business-owner-convicted-of-defrauding-a-united-states-department-of-agriculture-program

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Doctor Sentenced in Multi-Million Dollar Health Care Fraud and Money Laundering Scheme Involving Sober Homes and Alcohol and Drug Addiction Treatment Centers

13 Nov 15:28 | U.S. News

Miami News has been updated: https://www.fbi.gov/contact-us/field-offices/miami/news/press-releases/doctor-sentenced-in-multi-million-dollar-health-care-fraud-and-money-laundering-scheme-involving-sober-homes-and-alcohol-and-drug-addiction-treatment-centers

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Owner Of Hudson County, New Jersey, Scrap Metal Company Admits Role In 17-Year Conspiracy To Defraud Customers

13 Nov 15:25 | U.S. News

Newark News has been updated: https://www.fbi.gov/contact-us/field-offices/newark/news/press-releases/owner-of-hudson-county-new-jersey-scrap-metal-company-admits-role-in-17-year-conspiracy-to-defraud-customers

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Member of Lawrence Kidnapping Crew Sentenced to 13 Years in Prison

13 Nov 15:25 | U.S. News

Boston News has been updated: https://www.fbi.gov/contact-us/field-offices/boston/news/press-releases/member-of-lawrence-kidnapping-crew-sentenced-to-13-years-in-prison

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Former U.S.D.A. Farm Service Agency Loan Officer in Uvalde and Two Receipients Arrested and Charged in Farm Loan Fraud Case

13 Nov 15:23 | U.S. News

El Paso News has been updated: https://www.fbi.gov/contact-us/field-offices/elpaso/news/press-releases/former-usda-farm-service-agency-loan-officer-in-uvalde-and-two-receipients-arrested-and-charged-in-farm-loan-fraud-case

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Three Austinites Plead Guilty to Federal Fraud and Tax Charges

13 Nov 15:22 | U.S. News

El Paso News has been updated: https://www.fbi.gov/contact-us/field-offices/elpaso/news/press-releases/three-austinites-plead-guilty-to-federal-fraud-and-tax-charges

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Arizona Man Charged with Coercing a Minor to have Sex, Travelling for Sex with a Minor and Receipt and Possession of Child Pornography

13 Nov 15:13 | U.S. News

Pittsburgh News has been updated: https://www.fbi.gov/contact-us/field-offices/pittsburgh/news/press-releases/arizona-man-charged-with-coercing-a-minor-to-have-sex-travelling-for-sex-with-a-minor-and-receipt-and-possession-of-child-pornography

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Dallas Woman Sentenced for Role in Bank Fraud Conspiracy

13 Nov 15:13 | U.S. News

Dallas News has been updated: https://www.fbi.gov/contact-us/field-offices/dallas/news/press-releases/dallas-woman-sentenced-for-role-in-bank-fraud-conspiracy

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Fresno Man Indicted for Laser Strike on Fresno Police Helicopter

13 Nov 15:12 | U.S. News

Sacramento News has been updated: https://www.fbi.gov/contact-us/field-offices/sacramento/news/press-releases/fresno-man-indicted-for-laser-strike-on-fresno-police-helicopter

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Two Charged Federally in Credit Union Robbery

13 Nov 15:12 | U.S. News

Cleveland News has been updated: https://www.fbi.gov/contact-us/field-offices/cleveland/news/press-releases/two-charged-federally-in-credit-union-robbery

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Hartford Man Sentenced to 34 Months in Federal Prison for Gun and Drug Offenses

13 Nov 15:12 | U.S. News

New Haven News has been updated: https://www.fbi.gov/contact-us/field-offices/newhaven/news/press-releases/hartford-man-sentenced-to-34-months-in-federal-prison-for-gun-and-drug-offenses

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Man Admits Assaulting Sleeping Girl on Airplane

13 Nov 15:09 | U.S. News

Newark News has been updated: https://www.fbi.gov/contact-us/field-offices/newark/news/press-releases/man-admits-assaulting-sleeping-girl-on-airplane

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FBI Seeks Violent and Armed Commercial Robbery Crew

13 Nov 15:09 | U.S. News

Atlanta News has been updated: https://www.fbi.gov/contact-us/field-offices/atlanta/news/press-releases/fbi-seeks-violent-and-armed-commercial-robbery-crew

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New Orleans Woman Convicted for Role in $3.2 Million Medicare Kickback Scheme

13 Nov 15:09 | U.S. News

New Orleans News has been updated: https://www.fbi.gov/contact-us/field-offices/neworleans/news/press-releases/new-orleans-woman-convicted-for-role-in-32-million-medicare-kickback-scheme

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Remarks of CFTC Chairman J. Christopher Giancarlo to the ISDA Regulators and Industry Forum, Singapore

13 Nov 09:36 | U.S. News

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CFTC.gov Podcasts Update

10 Nov 00:31 | U.S. News

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SEC Announces the Formation and First Members of Fixed Income Market Structure Advisory Committee

9 Nov 17:00 | U.S. News

The Securities and Exchange Commission today announced the formation and first members of its Fixed Income Market Structure Advisory Committee. The committee, whose initial focus will be on the corporate bond and municipal securities markets, will provide advice to the Commission on the efficiency and resiliency of these markets and identify opportunities for regulatory improvements.  The committee is comprised of a diverse group of outside experts, including individuals representing the views of retail and institutional investors, small and large issuers, trading venues, dealers, and self-regulatory organizations, among others.  “Individual investors are highly active in fixed income markets, both directly as retail investors and indirectly through various types of funds,” said SEC Chairman Jay Clayton. “This committee will help the Commission ensure that our regulatory approach to these markets meets the needs of retail investors, as well as comparead more »

Munster Man Indicted In East Chicago, Post Office Bombing Case

9 Nov 15:32 | U.S. News

Indianapolis News has been updated: https://www.fbi.gov/contact-us/field-offices/indianapolis/news/press-releases/munster-man-indicted-in-east-chicago-post-office-bombing-case

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Former Secret Service Agent Sentenced In Scheme Related To Silk Road Investigation

9 Nov 15:31 | U.S. News

San Francisco News has been updated: https://www.fbi.gov/contact-us/field-offices/sanfrancisco/news/press-releases/former-secret-service-agent-sentenced-in-scheme-related-to-silk-road-investigation

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Blackfeet Head Start Employees Appear in Federal Court on Indictment for Embezzlement of over $230, 000

9 Nov 15:28 | U.S. News

Salt Lake City News has been updated: https://www.fbi.gov/contact-us/field-offices/saltlakecity/news/press-releases/blackfeet-head-start-employees-appear-in-federal-court-on-indictment-for-embezzlement-of-over-230000

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Adelanto City Councilmember Arrested on Federal Charges Alleging $10, 000 Bribe and Arson Plot to Burn Down his Restaurant

9 Nov 15:24 | U.S. News

Los Angeles News has been updated: https://www.fbi.gov/contact-us/field-offices/losangeles/news/press-releases/adelanto-city-councilmember-arrested-on-federal-charges-alleging-10000-bribe-and-arson-plot-to-burn-down-his-restaurant

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Five Individuals Charged in Foreign Bribery Scheme Involving Rolls-Royce Plc and Its U.S. Subsidiary

9 Nov 15:22 | U.S. News

Washington News has been updated: https://www.fbi.gov/contact-us/field-offices/washingtondc/news/press-releases/five-individuals-charged-in-foreign-bribery-scheme-involving-rolls-royce-plc-and-its-us-subsidiary

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Transportation Recruiter Charged with Defrauding Employers out of Half Million Dollars

9 Nov 15:22 | U.S. News

Cincinnati News has been updated: https://www.fbi.gov/contact-us/field-offices/cincinnati/news/press-releases/transportation-recruiter-charged-with-defrauding-employers-out-of-half-million-dollars

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Akron women indicted for defrauding Department of Education out of $1.8 million through financial aid scheme

9 Nov 15:20 | U.S. News

Cleveland News has been updated: https://www.fbi.gov/contact-us/field-offices/cleveland/news/press-releases/akron-women-indicted-for-defrauding-department-of-education-out-of-18-million-through-financial-aid-scheme

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Armed Heroin Dealer Sentenced To Over Five Years In Federal Prison

9 Nov 15:18 | U.S. News

Jacksonville News has been updated: https://www.fbi.gov/contact-us/field-offices/jacksonville/news/press-releases/armed-heroin-dealer-sentenced-to-over-five-years-in-federal-prison

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New York Doctor Sentenced To 33 Months In Prison For Role In Test-Referral Scheme With New Jersey Clinical Lab

9 Nov 15:15 | U.S. News

Newark News has been updated: https://www.fbi.gov/contact-us/field-offices/newark/news/press-releases/new-york-doctor-sentenced-to-33-months-in-prison-for-role-in-test-referral-scheme-with-new-jersey-clinical-lab

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New Hampshire Man Sentenced to 11 Years in Prison for Bank Robberies During Spring 2016 Crime Spree

9 Nov 15:15 | U.S. News

Boston News has been updated: https://www.fbi.gov/contact-us/field-offices/boston/news/press-releases/new-hampshire-man-sentenced-to-11-years-in-prison-for-bank-robberies-during-spring-2016-crime-spree

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Document Thief Sentenced On Mail Fraud Charge

9 Nov 15:14 | U.S. News

Buffalo News has been updated: https://www.fbi.gov/contact-us/field-offices/buffalo/news/press-releases/document-thief-sentenced-on-mail-fraud-charge

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