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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 »

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Robert Fallon

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Posts from Robert Fallon

Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor

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Broker-Dealer, Energy On January 16, 2015, the Commodity Futures Trading Commission (CFTC) fined an asset manager, using financial instruments to hedge its clients’ risk, for failing to register as a Commodity Trading Advisor (CTA).  See Summit Energy Services Inc., CFTC Docket No. 15-12.  Without admitting or denying any finding or conclusions, the asset manager agreed to pay […] Read more →

by   |   February 12, 2015

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2014 CFTC Enforcement Report – Another Year of Record Sanctions

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... Read more →

by   |   December 30, 2014

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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

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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