U.S. Futures Exchanges Disciplinary Actions Report - April 2017

Posted on: May 9, 2017 By: David Perlman, Michael Brooks, Bob Pease,

For the first time since we began the monthly Disciplinary Actions Report there were no disciplinary notices on the exchanges we monitor. Of course, there continue to be pending, non-public matters and more notices to come.

David Perlman

David Perlman is a partner in the energy practice in Bracewell's Washington, D.C. office. He represents and counsels clients in regulatory and compliance matters concerning the Federal Energy Regulatory Commission, Commodity Futures Trading Commission and state public utility commissions, energy-related transactions and financings, and in the establishment of compliance programs and training. His clients include utilities, commodities merchants, oil and gas pipeline companies, electric generators, energy marketers, industrial customers, generators, lenders and financial institutions, and oil & gas producers.

Michael Brooks

Michael focuses his practice in the areas of energy, commodities and derivatives law. He represents energy companies and commodity trading companies in a wide variety of regulatory, compliance and enforcement matters and routinely advises clients regarding compliance with federal rules and regulations governing the trading, ownership and transportation of energy commodities.

Bob Pease

Bob Pease represents clients involved in the energy sector in Commodity Futures Trading Commission (CFTC) and Federal Energy Regulatory Commission (FERC) regulatory, compliance and enforcement matters involving power, gas, and crude oil, as well as Dodd Frank implementation. Bob has more than 25 years of senior-level experience at CFTC and FERC handling energy-related policy, compliance and enforcement matters. Most recently he served as Counsel to the Director in the Division of Enforcement with the CFTC.

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