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CFTC Fines Houston, Chicago, and London-Based Introducing Brokers for Net Capital Deficiencies , 8252-20 |
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Mexican Meat Processor to Pay Fine for Violating Cattle Futures Speculative Position Limits , 8248-20 |
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CFTC Charges 4 Florida Men, 1 New Jersey Man, and Their Companies in $4.75 Million Forex Ponzi Scheme , 8246-20 |
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CFTC Charges Texas Man with Misappropriating Over $8.3 Million In Customer Funds , 8245-20 |
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Federal Court Orders Illinois Software Development Firm to Pay Penalty and Disgorgement for Aiding and Abetting Illegal Conduct , 8243-20 |
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CFTC Charges 3 Texas Men and 1 Florida Man in Fraudulent Digital Asset Scheme , 8241-20 |
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CFTC Awards Domestic and International Whistleblowers , 8239-20 |
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Victims of New York Ponzi Scheme Recover Over $1 Billion Following CFTC Enforcement Action , 8238-20 |
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CFTC Issues Guidance on Factors Used in Evaluating Corporate Compliance Programs in Connection with Enforcement Matters , 8235-20 |
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CFTC Awards Whistleblower for Exposing Ongoing Fraud , 8233-20 |
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CFTC Charges 10 Commodity Trading Advisors for Failing to Maintain NFA Memberships , 8232-20 |
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CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme , 8231-20 |
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CFTC Charges 20 Entities for Making False Registration Claims , 8229-20 |
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CFTC Charges Multiple Individuals and Entities in $28 Million Ponzi Scheme that Targeted Churchgoers , 8226-20 |
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CFTC Adds More Than 20 Unregistered Foreign Entities to RED List , 8225-20 |
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CFTC Orders Toronto-Based Firm to Pay $500,000 for Violating Capital, Reporting, and Supervision Rules , 8224-20 |
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CFTC Orders The Bank of Nova Scotia to Pay $50 Million for Swap Dealer Compliance and Supervision Failures and False Statements , 8222-20 |
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CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Spoofing and Making False Statements , 8221-20 |
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CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations , 8220-20 |
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CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations , 8218-20 |
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CFTC Obtains $3.8 Million Fraud Judgment Against Commodity Pool Operator and its Owner , 8217-20 |
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NYMEX and Two Former Employees to Pay $4 Million for Disclosing Material Non-Public Information , 8216-20 |
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CFTC Awards Approximately $9 Million to Whistleblower , 8213-20 |
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CFTC Announces Whistleblower Awards Totaling More Than $1 Million , 8208-20 |
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CFTC Orders Florida Company to Pay $75,000 for Registration Violations , 8207-20 |
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CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation of Nearly $900,000 , 8204-20 |
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CFTC Sanctions Two Firms Offering Digital Asset-Based Swaps for Illegal Off-Exchange Trading and Registration Violations , 8201-20 |
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Federal Court Orders Defendants to Pay Nearly $1.3 Million in Forex Fraud Scheme , 8200-20 |
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CFTC Charges California and Colorado Residents in Ongoing Multimillion-Dollar Ponzi Scheme , 8197-20 |
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CFTC Announces Finalization of 2020-2024 Strategic Plan , 8196-20 |
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CFTC Charges Florida Man for Attempting to Fraudulently Profit From COVID-19 , 8195-20 |
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CFTC Orders Illinois Resident and Broker to Pay Over $1.1 Million for Fraud and Additional Violations , 8194-20 |
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Supreme Court Denies Defendants’ Challenge to CFTC’s Enforcement Authority , 8192-20 |
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CFTC Orders Illinois Firm to Pay $250,000 for Supervision Violations , 8191-20 |
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CFTC Charges Chicago-Based Firm and Six Individuals in Multi-Million Dollar Options Fraud Scheme , 8190-20 |
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Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases , 8185-20 |
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Federal Court Orders Alabama Man to Pay $755,000 for Binary Options Fraud , 8184-20 |
