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- John Corzine Agrees to US $5 Million Fine and Registration Ban To Settle CFTC Charges Related to Collapse of MF Global; Edith O'Brien to Pay US $500,000
- Non-US Traders Criminally and Civilly Charged With Trading on Nonpublic Information Cyber-Hacked From Law Firms
- Firm Fined by ICE Futures US for ATS Gone Bad; NYMEX Summarily Denies Access to Member for Knowingly Submitting Inaccurate TAS Orders
- Two Companies Charged by SEC for Whistleblower Infractions
- FINRA Sanctions 12 Member Firms for Failure To Maintain Electronic Records in Required Format
- Investment Bank Agrees To Pay US $120 Million To Resolve Charges That It Attempted To Manipulate IRS Benchmark
- Tenth Circuit Holds SEC Administrative Tribunals Unconstitutional