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Fraud › Enforcement › Market Manipulation

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Morrison & Foerster LLP

DOJ Deploys Specialized Criminal Unit to Target Tariff Evaders

Morrison & Foerster LLP on

The United States Department of Justice (DOJ) has deployed its Market Integrity and Major Frauds Unit to target tariff evasion, a clear sign of the escalation of trade enforcement. The Criminal Division’s specialized unit,...more

Pierce Atwood LLP

FERC Releases Fiscal Year 2023 Annual Enforcement Report

Pierce Atwood LLP on

The Federal Energy Regulatory Commission’s (FERC) Office of Enforcement (OE) recently issued its Fiscal Year 2023 Annual Report on Enforcement. As in previous years, the Enforcement Report discusses the activities performed...more

Sheppard Mullin Richter & Hampton LLP

Financial Crimes Makes Debut in FINRA Annual Priorities Preview

Sheppard Mullin Richter & Hampton LLP on

FINRA punctuated its annual post-New Year’s Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), by including a new target category “Financial Crimes.” The inclusion of this category is noteworthy not...more

WilmerHale

Commodity Futures Trading Commission - 2019 in Review: CFTC 2019 Enforcement and Regulatory Developments and a Look Forward

WilmerHale on

In 2019, the Commodity Futures Trading Commission (CFTC or Commission) experienced significant changes in leadership, including the appointment of Dr. Heath P. Tarbert as the Commission’s 14th Chairman. The Division of...more

Akin Gump Strauss Hauer & Feld LLP

FERC’s Principles-Based Enforcement

Akin Gump Strauss Hauer & Feld LLP on

You may have noticed the Federal Energy Regulatory Commission (FERC) has received lots of heated criticism over its enforcement of alleged market manipulation and fraudulent behaviors. You may also have noticed FERC has not...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending June 13, 2014)

Dorsey & Whitney LLP on

The Commission failed to prove its insider trading claims to the satisfaction of a jury for the second week in a row. This time a Los Angeles jury rejected claims of the agency against a corporate executive that were tied to...more

Skadden, Arps, Slate, Meagher & Flom LLP

"The CFTC’s Fraud-Based Manipulation Authority Raises Questions"

Skadden, Arps, Slate, Meagher & Flom LLP on

In October 2013, the Commodity Futures Trading Commission used enforcement powers it gained under the Dodd-Frank Act in an order finding that a major financial institution recklessly employed manipulative devices in trading...more

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