On January 8, 2024, the U.S. Court of Appeals for the Fifth Circuit reversed a jury’s verdict in a Commodity Futures Trading Commission (“CFTC”) enforcement action against EOX Holdings, L.L.C. (“EOX”) and its employee, Andrew...more
1/15/2024
/ Affiliates ,
Appellate Courts ,
Block Trades ,
Brokers ,
CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Enforcement Actions ,
Insider Trading ,
Jury Verdicts ,
Reversal ,
Securities and Exchange Commission (SEC)
Over the past year, the Commodity Futures Trading Commission continued moving its focus away from practices like spoofing, instead bringing high-profile actions in the crypto space and reaching significant settlements with...more
5/5/2023
/ Broker-Dealer ,
CFTC ,
Compliance ,
Crypto Exchanges ,
Cryptoassets ,
Electronic Communications ,
Enforcement Actions ,
Enforcement Priorities ,
Financial Institutions ,
Investment Adviser ,
Market Participants ,
Registration Requirement ,
Required Communications ,
Securities and Exchange Commission (SEC) ,
Spoofing