Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: CFTC

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“The Opinions Offered Today Are Mine Alone And Do Not Represent The Commission” — A Summary Of Recent Remarks From SEC And CFTC Officials

Posted in CFTC, SEC
Selflessly, Blaine Doyle recently attended a presentation here in Chicago by the SEC and CFTC, so you didn’t have to do it yourself.  Here is his recount of the highlights. – Alan Anyone who has sat through a talk by financial regulators is undoubtedly familiar with the refrain from the individuals that they do not… Continue Reading

Stop The Press! CFTC Awards Broker Attorneys’ Fees!

Posted in CFTC, Commodities
Surprise!  In a rare occurrence, recently a CFTC Judgment Officer awarded a broker its attorneys’ fees for “frivolous and vexatious” litigation brought in “bad faith” by a customer in a Reparations proceeding. Azubueze Jiagbogu v. TradeStation Securities, Inc., [Current Transfer Binder] COMM. FUT. L. REP. (CCH) ¶ 33,430 (CFTC Mar. 9, 2015). The customer’s conduct… Continue Reading
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