Investigations, Enforcement Proceedings, and Lawsuits Brought by Regulators

Peter represents clients in connection with investigations, enforcement and disciplinary proceedings, and lawsuits brought by the CFTC, SEC, state securities and insurance agencies, NFA, FINRA, various Exchanges, and before state and federal trial and appellate courts. Some of these cases have involved:

  • Alleged Market Manipulation of Treasury Bond (T-Bond) Futures Contracts
  • Alleged Insider Trading
  • A Criminal Investigation regarding Orders Entered through an FCM’s Electronic Trading Platform
  • Alleged Violations of a Commodity Pool Operator’s (CPO) Duty to File Timely and Accurate Annual Reports with the NFA
  • Actions Brought to Freeze a Broker’s Assets and Enjoin Activities that would violate the Commodity Exchange Act and Securities Laws
  • Alleged Violations of NFA’s and FINRA’s Advertising Rules
  • An Investigation relating to Client’s alleged Participation in a PONZI Scheme
  • Alleged Violations of SEC Rules relating to Short Sale Exempt Securities
  • Alleged Failure to Supervise an FCM’s Associated Persons and Guaranteed Introducing Brokers (IB)
  • A Broker-Dealer’s Alleged Failure to Supervise Independent Brokers
  • A Broker/Insurance Agent’s Alleged Misappropriation of Customer Funds
  • A Broker’s Alleged Misrepresentations, Unauthorized Trading, and Churning in a Customer’s Discretionary Trading Account
  • Alleged Misrepresentations in a CPO’s and Commodity Trading Adviser’s (CTA) Disclosure Documents
  • Alleged Misrepresentations and Omissions on FORMS U4, U5, 7-R, 8-R, ADV, 1-FR
  • A Denial of Applications to Register with the NFA and FINRA
  • Actions to Permanently Bar, Revoke, and Suspend a Broker’s Registration
  • Alleged Misrepresentations relating to Deep Out of the Money Options
  • Alleged Misrepresentations relating to Single Premium Immediate Annuity Contracts to Shelter Assets by Circumventing Spend-Down Rules for Medicaid Benefits
  • Actions Brought before Business Conduct Committees (BCC) or Floor Practices Committees relating to Alleged Non-Competitive Trading, Wash Trades, and Trading Ahead of Customers
  • Alleged Violations of Broker’s Duty to Allocate Bunched or Block Orders in a Non-Preferential Manner
  • Alleged Misrepresentations relating to Index Annuities and Variable Insurance Policies
  • An Independent Broker-Dealer’s Alleged Failure to Disclose Outside Business Interests and Violations of Just and Equitable Principles of Trade
  • Alleged Violations of the Registration Requirements for Loan Brokers under the Illinois Loan Brokers Act

  • Sample Engagements

  • Investigations and Enforcement Proceedings

    • Alleged Market Manipulation
    • Alleged Insider Trading
    • Trader's Alleged Misuse of FCM's Electronic Trading Platform
    • read more

  • Litigation and Arbitration

    • Defending FCM against Trustee's Pre- and Post- Petition Claw Back Claims in Sentinel Bankruptcy
    • Defending Bank in Securities Fraud Class Action
    • Defending FCM in Case involving another Firm's PONZI Scheme
    • read more

  • Advice

    • Proprietary Algorithmic Automated High-Speed High-Frequency Trading Systems
    • Anti-Money Laundering Policies and Procedures
    • Rules relating to FOREX Dealer Members and RFEDs
    • read more