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FCPA Blog Daily News

Entries in Commodities Futures Trading Commission (8)

Thursday
Aug042016

U.S. fines disbarred Canada lawyer $280,000 for ‘money pass’ scheme

A federal court in Illinois entered a default judgment Tuesday against John D. Briner, a disbarred Canadian attorney who used a U.S. commodity trading account in a so-called "money pass" to move nearly $400,000 to another person.

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Friday
Jul152016

First convicted spoofer jailed three years

In the first federal criminal prosecution of its kind, a high-frequency trader was sentenced Wednesday to three years in prison for disrupting commodity futures prices in a $1.4 million fraud scheme.

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Wednesday
May212014

CFTC pays $240,000 to first whistleblower

The acting chairman of the U.S. Commodity Futures Trading Commission (CFTC) said Tuesday the agency will make its first award to a whistleblower under the program created by the Dodd-Frank Act of 2010.

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Monday
Oct212013

JP Morgan rap sheet is deep and wide

JP Morgan Chase reached a tentative deal with the DOJ this weekend to settle a slew of past transgressions for $13 billion.

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Friday
Sep072012

Interview with Vincente Martinez of the CFTC Whistleblower Program: Part IV

Do whistleblowers have any protection against retaliation under your whistleblowing program?

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Thursday
Sep062012

Interview with Vincente Martinez of the CFTC Whistleblower Program: Part III

As companies adjust to the new whistleblowing regimes under the Dodd-Frank Act, what changes do you recommend that they make to their existing compliance programs to ensure they are adequately prepared to manage whistleblowers and/or CFTC inquiries in response to whistleblower complaints?

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Wednesday
Sep052012

Interview with Vincente Martinez of the CFTC Whistleblower Program: Part II

Question: As you are aware, many companies have expressed concerns about the lack of an internal reporting requirement for whistleblowers. What, if anything, do you have to say in response to critics who argue that this undermines their compliance programs?

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Tuesday
Sep042012

Interview with Vincente Martinez of the CFTC Whistleblower Program: Part I

I recently sat down with Vincente Martinez, Director of the CFTC Whistleblower Office (WBO), who graciously agreed to answer some of my questions about the WBO.

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