Latest news by Michael Volpe
DOJ Has Frontrunning on Its Radar
The US Department of Justice (DOJ) has several tools to prosecute derivatives fraud, and they aren’t only interested in spoofing. The Futures Industry Association (FIA) Law & Compliance Division recently put on its most recent…
FINRA Creates COVID Task Force
FINRA, the Financial Industry Regulatory Authority, has formed a task force for COVID related crimes. Greg Ruppert is the new head of the National Cause and Financial Crimes Detection Programs (NCFC) at FINRA and he…
Is Impact Investing Code for Globalist Social Justice
Is impact investing an Orwellian attempt to bring a globalist social justice agenda to the markets? The latest episode of the podcast, Pocket Dilemmas, which is put together by European Bank for Reconstruction and Development…
NASDAQ Puts Screws to Chinese Firms
The NASDAQ is taking a hardline against Chinese companies listed on their exchange. On June 4, 2020, the US Department of State put out the following press release entitled, “New NASDAQ Restrictions Affecting Listing of…
FINRA Explains Gateway Transition
FINRA, the Financial Industry Regulatory Authority, hopes upgrades in its compliance portal will leverage technology. FINRA recently held a virtual conference entitled “FINRA Gateway.” This conference was about the transition from FIRM Gateway to FINRA…
CFTC Enforcement Head Talks Dodd/Frank and Transparency
The head of enforcement at the Commodities Futures Trading Commission (CFTC) said Dodd/Frank ushered in a new era for enforcement. James McDonald is the Head of Enforcement at the CFTC and he made the remarks…
Meet FINRA’s New Financial Crime Detector
FINRA’s man in charge of investigating financial crimes has a varied background, including hostage negotiation. Greg Ruppert is FINRA's new Executive Vice President of the National Cause and Financial Crimes Detection Programs and he was…
Tarbert Talks Coronavirus
Dr. Heath Tarbert was the latest guest on the podcast of the Futures Industry Association (FIA), FIA Speaks. [caption id="attachment_368073" align="alignleft" width="220"] Heath_P._Tarbert[/caption] The podcast is hosted by Walt Lukken, the Chief Executive Officer (CEO)…
CME Explains Their Investigation Policy
The CME may inform traders within a couple of days to several months that a trade is under investigation. The Futures Industry Association recently held a webinar entitled, “Block Trades on CME Group Exchanges during…
The Head of Enforcement at FINRA was the Latest Guest on its Podcast
FINRA is the Financial Industry Regulator Authority, and it is the self-regulatory organization over the securities industry in the US. Jessica Hopper is FINRA’s new Executive Vice President and Head of Enforcement, and she was…