Events

CFTC Enforcement Update:
Developments & Trends

Speaker: Rick Glaser 

Deputy Director in the Division of Enforcement of the CFTC

12 September 2019
04:30 pm

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.

 
 

About WDCCRT

The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:

 

  • To educate compliance professionals in the financial and securities industries; and

  • To facilitate networking opportunities for compliance professionals in the financial and securities industries.

The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.

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Past Events

May 09, 2019

SEC Senior Investors Regulatory Overview ​

Speaker: Stephen Deane CFA Engagement Advisor, Office of the Investor Advocate, SEC

March 07, 2019

FINRA 2019 Regulatory Priorities ​

Speaker: Steven Polansky Senior Director, Office of Shared Services, FINRA

January 17, 2019

FBI and Cyber Security

Speaker: Matthew J. DeSarno, Special Agent in Charge, FBI

September 06, 2018

SEC Enforcement Trends in Tips Complaints and Referrals (TCR)

Speaker: Jennifer M. Carr, Attorney, SEC Division of Enforcement

April 26, 2018

Consolidated Audit Trail Discussion

Speaker: Elizabeth King, General Counsel, NYSE

January 18, 2018

Regulatory Priorities 2018

Speaker: Dan Driscoll, Executive Vice President and Chief Compliance Officer at National Futures Association (NFA)

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Contact

 

Meeting Location:

1050 Connecticut Ave NW, Ste 1070

Washington, D.C. 20036

Mailing Address:

11654 Plaza America Drive, Ste 260

Reston, VA 20190

Phone 703.988.6858

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