Year: 2012

Resurging enforcement officials at the Commodity Futures Trading Commission brought another significant enforcement action this week. The settled proceeding was against JPMorgan Chase Bank, N.A. It arose out of the unlawful handling of customer segregated funds belonging to Lehman Brothers …

CFTC SANCTIONS JPMORGAN OVER HANDLING OF LEHMAN CUSTOMER FUNDS Read More »

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The Commodity Futures Trading Commission filed an enforcement action against the Royal Bank of Canada alleging a years long, riskless wash sale scheme conducted by a small group of RBC personnel to generate certain lucrative Canadian tax benefits. The trades …

CFTC SUES ROYAL BANK OF CANADA FOR YEARS LONG WASH SALE SCHEME Read More »

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