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SEC & CFTC Charge Firms for Unapproved Communications

SEC & CFTC Charge Firms for Unapproved Communications
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United statesNew yorkAnnec mckinleyKarolina klyuchnikovaAlisonr levineLenel hickson jrAmys cotterLaurels fensterstockRutag dudenasThomasp smith jrAustin thompsonGurbirs grewalKathryna pyszkaDevin cainManalm sultanPerella weinberg

CFTC Orders Goldman Sachs To Pay $5 5 Million For Recordkeeping Violations

CFTC Orders Goldman Sachs To Pay $5 5 Million For Recordkeeping Violations
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Lenel hickson jrManal sultanDevin cainIan mcginleyDavidw macgregorGabriella geanuleasCommodity exchangeDivision of enforcementGoldman sachs coCommodity futures trading commissionGoldman sachsCommodity exchange actEnforcement ianAlejandra de uriosteLenel hickson

Statement Of CFTC Commissioner Kristin N Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties To Deter Repeated Compliance Failures

Statement Of CFTC Commissioner Kristin N Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties To Deter Repeated Compliance Failures
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Kristinn johnsonLenel hickson jrManalm sultanDevin cainDavid macgregorCommodity futures trading commission theGoldman sachs coDivision of enforcementParty service providers is nota defenseMarket participants divisionGoldman sachs group incCommodity exchange actGoldman sachsDivision of swap dealerCommodity futures trading commissionAudio recordkeeping

CFTC Orders Four Financial Institutions To Pay Total Of $260 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods

CFTC Orders Four Financial Institutions To Pay Total Of $260 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods
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Trevor kokalMeredith bornerDevin cainBenjaminj rankinJake mermelsteinJames wheatonLenel hickson jrManalm sultanJack murphyIan mcginleyWells fargo bankExchange commissionParibas securities corpDivision of enforcementSg americas securitiesCommodity futures trading commission

Statement Of CFTC Commissioner Kristin N Johnson Regarding The CFTC s Reaching Over $1 Billion In Civil Monetary Penalties Against Bank-Affiliated Entities For Employees Offline Communications

Statement Of CFTC Commissioner Kristin N Johnson Regarding The CFTC s Reaching Over $1 Billion In Civil Monetary Penalties Against Bank-Affiliated Entities For Employees Offline Communications
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Manal sultanMeredith bornerPaul hayeckDevin cainJack murphyLenel hickson jrJonahe mccarthyA daniel ullmanCommodity exchange actDivision of enforcementCommodity futures trading commissionExchange commissionBank affiliated entitiesAlejandra de uriosteLenel hickson