CFTC Enforcement Update:
Developments & Trends
Speaker: Rick Glaser
Deputy Director in the Division of Enforcement of the CFTC
12 September 2019
Rick Glaser is a Deputy Director in the Division of Enforcement of the Commodity Futures Trading Commission. Mr. Glaser started his career with the CFTC in 1998. Currently, Mr. Glaser supervises approximately 30 attorneys, investigators and paralegals in the investigation and prosecution of manipulation, trade practice and commodities fraud cases. Over the years Mr. Glaser and his attorneys have brought over 150 cases involving, among other things, manipulation in energy and agricultural markets, swaps data reporting, spoofing, multi-million dollar futures, forex, metals, and cryptocurrency Ponzi schemes; fraud and misappropriation by Commodity Pool Operators and Commodity Trading Advisors, and a variety of trade practice cases. In addition, Mr. Glaser created and supervises the CFTC’s Registration Deficient (RED) List. Before joining the CFTC, Mr. Glaser worked for three years in a private law firm in which he investigated, prosecuted and tried insurance fraud and arson matters. Prior to that, Mr. Glaser served as an Assistant District Attorney in Brooklyn, New York for five years during which time he prosecuted and tried numerous felony and misdemeanor cases. Mr. Glaser is a graduate of the American University Washington College of Law and received his B.A. in political science from Middlebury College.
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