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:
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To educate compliance professionals in the financial and securities industries; and
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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.
For membership information please use Contact form
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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)