Bridging the Weeks by Gary DeWaal: June 25 – July 13 and July 16, 2018 (Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction)

Published Date: July 16, 2018

A commodity merchandising firm was fined US $6.55 million by the Commodity Futures Trading Commission and the Chicago Board of Trade combined for attempting to manipulate the prices of wheat futures contracts. However, its transaction activity may have constituted ordinary commercial conduct. But that was not sufficient to avoid the regulators’ wrath. Separately, the Financial Industry Regulatory Authority asked member firms voluntarily to disclose details regarding their, their associated persons’, and their affiliates’ activities related to digital assets. But the nature of activities FINRA is curious about is very broad, and includes such persons’ futures activities. As a result, the following matters are covered in this week’s edition of Bridging the Week:

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ABOUT GARY DEWAAL

Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.


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ABOUT KATTEN

Katten is a firm of first choice for clients seeking sophisticated, high-value legal services in the United States and abroad.

Our nationally recognized practices include corporate, financial services, litigation, real estate, environmental, commercial finance, insolvency and restructuring, intellectual property, and trusts and estates.

Our approximately 650 attorneys serve public and private companies, including nearly half of the Fortune 100, as well as a number of government and nonprofit organizations and individuals.

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Gary DeWaal
Katten Muchin Rosenman LLP
575 Madison Avenue
New York, NY 10022-2585

+1.212.940.6558




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