Securities

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Latest News in Securities

  • October 18, 2017

    MarkitServ Settles Swap Trading Monopoly Suit

    Interest rate swap trading company MarkitServ Ltd. has settled allegations it has a monopoly on the processing service industry brought by financial technology company TrueEx LLC, according to a filing in New York federal court Tuesday.

  • October 18, 2017

    Digital Tokens Can Be Regulated As Commodities, CFTC Says

    The U.S. Commodity Futures Trading Commission said Tuesday that digital tokens issued in so-called initial coin offerings can be considered commodities and thus come under the agency’s oversight, putting the futures watchdog on par with the U.S. Securities and Exchange Commission’s approach to regulating the booming ICO market.

  • October 18, 2017

    AML For Broker-Dealers: Takeaways From SEC Enforcement

    The U.S. Securities and Exchange Commission recently started regularly using Rule 17a-8 under the Securities and Exchange Act as a tool to enforce anti-money laundering deficiencies with broker-dealers. These enforcement actions offer a number of key takeaways that may help broker-dealers enhance their AML compliance program, says Jesse Morton of Stout Risius Ross LLC.

  • October 17, 2017

    7th Circ. Upholds 4-Year Sentence For Defrauding Seniors

    A Seventh Circuit panel on Tuesday refused to overturn a sentencing order against a California man convicted of defrauding investors — including Illinois residents — of nearly $1 million in a retirement savings scheme between 2009 and 2012.

  • October 17, 2017

    Shkreli Acquittal Inadmissible At Trial, Gov't Argues

    An additional pool of 100 potential jurors was added Tuesday in the Brooklyn federal trial of former Katten Muchin Rosenman LLP attorney Evan Greebel, accused of conspiring with Martin Shkreli to defraud Retrophin Inc., just hours after the government fired back at Greebel's contention that the pharma-bro’s acquittal on one of the conspiracy counts is admissible.

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