According to FINRA, Citigroup’s brokerage unit, Citigroup Global Markets, Inc., failed in running background checks on at least 10,400 non-registered associated persons, which led to three individuals who’d been convicted
Lawrence Fejokwu and his company, Chazon QTA Quantitative Trading Artists LLC, was banned from National Futures Association (NFA) membership after Fejokwu refused to help with its investigation. The U.S. Commodity
Today, the U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Curtis Dalton of Middleton, Massachusetts, requiring him to pay $200,000 for offering illegal off-exchange
As detailed in this IRS news release today, the IRS has begun sending letters to taxpayers with virtual currency transactions that may have resulted in tax liabilities. This notice provides:
The Federal Reserve Board, the Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission announced yesterday
Kennyhertz Perry, LLC Partner Braden Perry was featured as one of several Blockchain experts in the Disruptor Daily series on emerging technology and Blockchain in industry. Perry discussed practical
The Chicago Mercantile Exchange (CME) and Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against an unregistered Hong Kong-based hedge fund, Elephas Investment Management Ltd. (Elephas),
Kansas City Business Journal Leadership Trust is an Invitation-Only Community for Top Business Decision Makers in the Kansas City Area Westwood Hills, KS (June 28, 2019) — Braden Braden Perry,
“Kennyhertz Perry attorney Jon Dedon recently appeared on the State Your Line podcast to discuss medical marijuana in Missouri. The discussion ranged from how to set up Missouri marijuana dispensaries
The Department of Justice has reportedly opened a criminal investigation into claims over whether companies including Tyson Foods, Pilgrim’s Pride, and Sanderson Farms conspired to fix poultry prices. The probe
Earlier this week, the Commodity Futures Trading Commission (“CFTC”) filed a civil enforcement action against Control-Finance, a United Kingdom-based Bitcoin trading and investment company. The complaint alleges that Control-Finance made
The Federal Trade Commission (“FTC”) recently filed two actions against Shore to Please Vacations LLC and Staffordshire Property Management, LLC alleging that the companies used illegal non-disparagement clauses in consumer
