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Date
Press Releases
05/16/2013
Federal Court in Florida Orders Defendants Philip Milton and Trade, LLC, and Four Relief Defendants to Pay Millions in Restitution, Disgorgement, and Civil Monetary Penalties for Operating a $28.4 Million Ponzi Scheme, 6590-13
05/16/2013
Federal Court Orders Spencer Montgomery, Brian Reynolds, Arjent Capital Markets LLC, and Chicago Trading Managers LLC to Pay More than $1.8 Million for Commodity Pool Fraud, 6589-13
05/14/2013
CFTC Orders MB Trading Futures Inc., a Registered Retail Foreign Exchange Dealer, to Pay $200,000 Penalty to Settle Charges of Violating Minimal Financial Requirement Rules, 6588-13
05/13/2013
CFTC Charges Global Precious Metals Trading Company and Michael Ghaemi of Coral Gables, Florida with Fraudulent Precious Metals Scheme, 6587-13
05/13/2013
Federal Court Orders Ohioans Kevin and Keelan Harris, Canada-based Karen Starr, and their Companies, Complete Developments, LLC and Investment International Inc., to Pay over $23 Million for Fraud in Foreign Currency Ponzi Scheme, 6586-13
05/09/2013
CFTC to Hold Open Meeting to Consider Trade Execution Rules; Anti-Disruptive Trading Practices Guidance, 6585-13
05/08/2013
CFTC Charges Ron Eibschutz with Aiding and Abetting Disclosures of Material Nonpublic Information about Customer Trades in its Case against the CME Group’s New York Mercantile Exchange and Two Former Employees, 6584-13
05/08/2013
CFTC’s Division of Market Oversight Issues Advisory Providing Guidance to Reporting Markets on How to Submit Block Trade Volume Data, 6583-13
05/08/2013
CFTC’s Division of Market Oversight Issues Advisory Reminding Market Participants of Certain Call Cotton Reporting Requirements and a No-Action Position Allowing for E-mail Submission of Form 304 Reports, 6582-13
05/06/2013
CFTC Charges Bostonian David Prescott with Forex Pool Fraud, 6581-13
05/02/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter Providing Relief Surrounding Certain Foreign Exchange Transactions with a Settlement Cycle of No More than Seven Local Business Days, 6580-13
05/02/2013
CFTC Issues Order of Registration for the Natural Gas Exchange Inc., 6579-13
05/01/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Obligation of Swap Dealers and Major Swap Participants to Provide Certain Disclosures for Certain Transactions Under Regulation 23.431, 6578-13
04/30/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Relief for Swap Dealers in Connection with Prime Brokerage Arrangements, 6577-13
04/29/2013
CFTC Sanctions Two Illinois Residents $400,000 and Imposes a 140-Day Trading Ban for Entering into Unlawful Wash Sales, 6576-13
04/25/2013
New CFTC Anti-Fraud Resources Released for Financial Capability Month, 6575-13
04/24/2013
CFTC Announces Departure of Office of International Affairs Director Jacqueline H. Mesa; Sarah E. Josephson Announced as New Director, 6574-13
04/24/2013
CFTC Announces Public Meeting of the Technology Advisory Committee, 6573-13
04/23/2013
Federal Court Orders Wisconsin Resident Eric N. Schmickle and his Company, Q Wealth Management Inc., to Pay over $5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud, 6572-13
04/18/2013
CFTC Charges Accounting Firm Tunney & Associates, P.C. and Its Sole Owner Michael Tunney with Failing to Properly Audit a Registered Futures Commission Merchant, 6571-13
04/18/2013
CFTC Orders The Linn Group, Inc., a Registered Futures Commission Merchant, to Pay $400,000 Civil Monetary Penalty for Customer Account Deficiencies and Supervision Failures, 6570-13
04/17/2013
Federal Court Orders North Carolina Residents Timothy Bailey and Michael Hudspeth, and their Company, PMC Strategy, LLC, to Pay over $1.8 Million for Fraud in Foreign Currency Ponzi Scheme, 6569-13
04/17/2013
Federal Court in Florida Orders Michael Alcocer and His Panama-based Company, InovaTrade, Inc., to Pay More than $38 Million in Foreign Currency Fraud Action, 6568-13
04/16/2013
Report to the G-20 Meeting of Finance Ministers and Central Bank Governors of 18-19 April 2013,
04/15/2013
Federal Court in California Orders National Equity Holdings, Inc. and Its Principal, Robert J. Cannone, to Pay over $3.6 Million to Settle Fraud Charges in CFTC Action, 6567-13
04/11/2013
CFTC Grants Order to ICE Clear Europe Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account, 6566-13
04/11/2013
CFTC Vacates Kansas City Board of Trade Clearing Corporation’s Registration as a Derivatives Clearing Organization, 6565-13
04/10/2013
CFTC and SEC Approve Joint Final Rule Governing Identity Theft, 6564-13
04/09/2013
CFTC’s Division of Market Oversight Provides No-Action Relief from Swap Data Reporting Requirements to Swap Counterparties that are not Swap Dealers or Major Swap Participants, 6563-13
04/09/2013
CFTC Announces Jonathan L. Marcus as General Counsel, 6562-13
04/09/2013
CFTC Orders Florida-based Forex Global Solutions Inc., Forex Global Solutions Ltd., Barry Sendach, and Joshua Kershner to Pay $750,000 for Foreign Currency (Forex) Fraud and Violating CFTC Registration Requirements, 6561-13
04/09/2013
CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty, 6560-13
04/08/2013
CFTC Charges New York Firm 4X Solutions, Inc. and its Principal, Whileon Chay, with Forex Fraud Ponzi Scheme, 6559-13
04/05/2013
CFTC’s Division of Market Oversight and Division of Clearing and Risk Issue Joint No-Action Relief for Swaps Between Affiliated Counterparties from Certain Swap Reporting Requirements, 6558-13
04/05/2013
CFTC’s Division of Market Oversight Issues No-Action Relief for End-Users from Certain Reporting and Recordkeeping Requirements of the Trade Option Exemption, 6557-13
04/05/2013
Federal Court Orders Illinois Resident Brant L. Rushton and his Company, Summit Trading & Capital LLC, to Pay over $4.8 Million for Fraud and other Violations in Commodity Pool Scheme, 6556-13
04/02/2013
CFTC Revokes Registrations of Gordon A. Driver and Axcess Fund Management, LLC, 6555-13
04/02/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter for Commodity Pool Operators of Securitization Vehicles, 6554-13
04/01/2013
CFTC Approves Final Regulations Governing Exemption from Required Clearing for Inter-Affiliate Swaps, 6553-13
04/01/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations, 6552-13
03/29/2013
CFTC Staff Issue Extension of No-Action Relief to Certain Regional Transmission Organizations (RTOs), Independent System Operators (ISOs), and/or Their Participants, 6551-13
03/29/2013
CFTC Approves Final Regulations Governing Dual and Multiple Associations of Associated Persons of Swap Dealers and Major Swap Participants, 6550-13
03/29/2013
CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud, 6549-13
03/29/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Persons from Registration as an Introducing Broker or Commodity Trading Advisor, 6548-13
03/28/2013
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Futures Commission Merchants Concerning Annual Reports of Chief Compliance Officers, 6547-13
03/28/2013
CFTC Issues Final Order to Exempt Certain Specified Transactions of Regional Transmission Organizations and Independent System Operators, 6546-13
03/28/2013
CFTC Issues Final Order to Exempt Certain Non-Financial Energy Derivative Transactions between Government and/or Cooperatively-Owned Electric Utilities, 6545-13
03/27/2013
Federal Court in California Orders Victor Yu and His Company to Pay over $3.2 Million in Foreign Currency Fraud Action , 6544-13
03/27/2013
CFTC Revokes Registrations of New Jersey-based Victor E. Cilli and Progressive Investment Funds LLC, 6543-13
03/27/2013
CFTC Orders Florida Firms, Joseph Glenn Commodities LLC and JGCF LLC, and Owners Scott Newcom and Anthony Pulieri to Pay over $1 Million in Restitution and Penalties for Fraudulent Off-Exchange Transactions in Precious Metals with Retail Customers, 6542-13
03/22/2013
CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants, 6541-13
03/21/2013
CFTC Issues Amended Registration Order for Natural Gas Exchange Inc., 6540-13
03/20/2013
Federal Court Orders Oregon-based System Capital, LLC and its President Joshua Wallace to Pay $840,000 for Solicitation Fraud and Making False Statements to the National Futures Association, 6539-13
03/20/2013
CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Certain Swaps, 6538-13
03/19/2013
Federal Court Imposes More than $57 Million in Sanctions against Two Mexican Companies, MXBK Group S.A. de C.V. and MBFX S.A., for Defrauding their U.S. Foreign Currency (Forex) Customers, 6537-13
03/18/2013
CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Compression Exercises, 6536-13

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