Year: 2018

The Commodity Futures Trading Commission’s Division of Enforcement published its annual report (here). Like the Report for the SEC’s Division of Enforcement, it outlines the priorities of the Division and its program. The Report also emphasizes that statistics in terms …

CFTC Enforcement Annual Report: Priorities, Organization, Statistics Read More »

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The Commission brought one civil enforcement action this week. The case centers on a boiler room and the manipulation of a penny stock over a three year period. The action, and the parallel criminal case, are related to similar actions …

This Week In Securities Litigation (Week ending Nov. 16, 2018) Read More »

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