Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Fallon.Robert.web

Robert Fallon

Full Biography »

202.346.6910

fallonr@stinsonleonard.com

All Bloggers »

Posts from Robert Fallon

2014 CFTC Enforcement Report – Another Year of Record Sanctions

Yellow Penalty Flag

Broker-Dealer, Energy On November 6, 2014, the Commodity Futures Trading Commission (CFTC) released its 2014 fiscal year Enforcement Report.  In 2014, the CFTC continued its aggressive enforcement of the commodities market, in comparison to prior years.  The CFTC recorded another record year of sanctions — $3.27 billion – against companies and individuals.  Over the previous two years, […] Read more →

by   |   December 30, 2014

Fallon.Robert.web

Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing

Broker-Dealer, Energy Last week the government handed down its first criminal indictment for allegedly engaging in “spoofing” and the Commodity Futures Trading Commission settled with Eric Moncada... Read more →

by   |   October 13, 2014

Sun Illustration 300dpi

Due Process Requires US Committee on Foreign Investment to Let the Sunshine In

Energy On July 15 the United States Court of Appeals for the District of Columbia Circuit told CFIUS (the Committee on Foreign Investment in the United States) that constitutional due... Read more →

by   |   July 16, 2014

financial statements

Auditors of Futures Commission Merchants: Know the Audit Rules or You Will Be Fined

Energy A recent $100,000 settlement between the Commodity Futures Trading Commission (CFTC) and an accounting firm highlights — for accounting firms auditing Futures Commission... Read more →

by   |   May 6, 2014