A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
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The DOJ, OFAC, FinCEN and the CFTC settled enforcement actions against Binance, its CEO and former CCO. The coordinated settlements addressed charges against the digital asset exchange for CFTC registration failures and for violations of the Bank Secrecy Act and International Emergency Economic Powers Act sanctions programs.
A Colombia-based financial holding company and its merchant bank subsidiary resolved separate SEC and DOJ charges for bribery in connection with a highway construction project.
The SEC and the DOJ charged three executives of a shipbuilding company for fraudulently overstating revenues and earnings to investors.
A bank holding company entered into a plea agreement for filing false securities statements as to its initial public offering and subsequent annual filings.