If FINRA continues at its current pace, the report’s authors expect the regulator to issue $75 million in fines for the entire year, compared to the $135 million levied in 2014.
Marsh, who is free on a $200,000 bond, faces as long as five years in prison when he’s sentenced Dec. 7.
In its continuing litigation against Mintco, Rubin, and Zimmerman, the CFTC seeks disgorgement of ill-gotten gains
“A vital tax practice is a necessary and important part of the firm’s transactional practice, and Eric is nationally recognized as one of the few leading tax lawyers who combine this high level of technical expertise in partnership taxation wi
The CFTC Order requires ANZ to pay a $150,000 civil monetary penalty and to cease and desist from committing further violations of the CEA and CFTC Regulations, as charged.
The organization, comprised of representatives from state-level banking regulatory bodies, released an initial draft version of its proposed digital currency regulations in December.
“Today’s agreement is yet another example of a foreign financial institution coming forward, acknowledging its criminal conduct, taking the necessary steps to resolve its criminal exposure, cooperating with the department’s ongoing inves