Deutsche Bank opposes spoofing allegations
Deutsche Bank slams a complaint accusing it of alleged manipulation in violation of the CEA, among other related claims.
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Author: Maria Nikolova
SEC goes after AMV Investments founder
Vick, through AMV Investments, raised at least $3.2 million from investors by representing that she is a successful stock options trader.
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CFTC reaches settlement in principle with head of $10M fraudulent trading scheme
The CFTC and William S. Evans have reached an agreement in principle to resolve this $10 million fraud litigation.
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FINRA imposes $200,000 fine on NYLIFE Securities
NYLIFE Securities failed to achieve compliance with FINRA Rule 2111’s suitability requirements regarding mutual fund and cross-product switches.
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FTX US closes acquisition of LedgerX
The completion of LedgerX acquisition signals an expansion of FTX US regulated futures and options offerings.
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