Stinson Leonard Street 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 »

CFTC Taking Action on Inaccurate Reporting


Broker-Dealer, Energy The Commodity Futures Trading Commission (CFTC) is increasingly taking action on inaccurate reporting by market participants.  In the past year, the CFTC has entered into three settlements with market participants for filing inaccurate reports. Recently, the CFTC settled with ICE Futures U.S., Inc. for $3 million for inaccurately filing clearing member reports and record data […] Read more →

by   |   April 8, 2015


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

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... Read more →

by   |   February 12, 2015

Yellow Penalty Flag

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


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