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CFTC Charges Trader Krishna Mohan with Spoofing and Engaging in a Manipulative and Deceptive Scheme , 7687-18 |
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CFTC Charges James Vorley and Cedric Chanu with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets , 7686-18 |
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CFTC Charges Andre Flotron with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets , 7685-18 |
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CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets , 7684-18 |
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CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets , 7683-18 |
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CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing In the Precious Metals Futures Markets , 7682-18 |
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CFTC Files Eight Anti-Spoofing Enforcement Actions against Three Banks (Deutsche Bank, HSBC & UBS) & Six Individuals , 7681-18 |
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CFTC Charges Randall Crater, Mark Gillespie, and My Big Coin Pay, Inc. with Fraud and Misappropriation in Ongoing Virtual Currency Scam , 7678-18 |
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CFTC Charges Patrick K. McDonnell and His Company CabbageTech, Corp. d/b/a Coin Drop Markets with Engaging in Fraudulent Virtual Currency Scheme , 7675-18 |
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CFTC Charges Colorado Resident Dillon Michael Dean and His Company, The Entrepreneurs Headquarters Limited, with Engaging in a Bitcoin and Binary Options Fraud Scheme , 7674-18 |
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CFTC Charges Illinois Traders Richard D. Carter and Mark R. Slobodnik and their Company, Blue Guru Trading, LLC, with Fraud , 7672-18 |
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Federal Court Orders Florida-based Mintco LLC and its Owners, Stuart Rubin and Richard Zimmerman, to Pay $340,000 in Civil Monetary Penalties for Engaging in Illegal Off-Exchange Precious Metals Transactions , 7667-17 |
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CFTC Adds 21 Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Binary Options and Forex , 7663-17 |
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Federal Court Orders Kevin Michael Symons of Foot Hill Ranch, Calif., & His Firm, FTS Financial, Inc., to Pay over $5 Million Total for Fraud & Jerry Austin Simmons of Charlotte, N.C., to Pay $360,000 for Fraud & Failure to Register with the CFTC , 7659-17 |
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Federal Court Orders California Residents Joseph Dufresne, Megan Renkow, and Their Companies to Pay More than $4.9 Million in Restitution and a Monetary Penalty for Fraud in Connection with Offering and Selling Futures Trading Strategies and Systems , 7651-17 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2017 , 7650-17 |
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Federal Court Sanctions Gerard Suite and STA Opus LLC for Commodity Pool Fraud and Frank Collins for Misappropriation of Customer Funds , 7647-17 |
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CFTC Orders INTL FCStone Financial Inc. and FCStone Merchant Services LLC to Pay Penalty for Unlawful Exchange for Related Position Transactions , 7644-17 |
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CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil’s NYMEX-cleared Swaps Position , 7643-17 |
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Federal Court Orders Arizona Resident Derek Springfield and His Company, Draven, LLC, to Pay over $2.2 Million in Restitution and a Penalty in CFTC Anti-Fraud Action , 7642-17 |
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CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct & Reporting Requirements, & for Supervision Failures , 7640-17 |
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CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports , 7638-17 |
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CFTC Charges California Resident Scott Allensworth, His Company E-Slate, Inc., Nevada Resident Robert J. Fusco, and Kentucky Resident David Weddle with Fraud, Misappropriation, and Registration Violations , 7628-17 |
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CFTC Finds that Proprietary Trading Firm Arab Global Commodities DMCC Engaged in Spoofing of Copper Futures Contracts , 7627-17 |
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Federal Court Enters More than $2 Million Judgment against Grand Island, Nebraska, Resident Who Controlled International Fraudulent Scheme , 7626-17 |
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CFTC Orders Logista Advisors LLC to Pay $250,000 for Supervision Failures Related to Spoofing on a Foreign Futures Exchange , 7623-17 |
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CFTC Charges California Residents Hasan Sarwar a/k/a Alexander Sarwar, and Rachida Elfrimi With Operating a $1.19 Million Dollar Ponzi Scheme and Registration Violations , 7622-17 |
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CFTC Orders Morgan Stanley & Co. LLC to Pay $500,000 for Supervision Failures , 7621-17 |
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CFTC Orders Connecticut-Based Tillage Commodities, LLC to Pay a $150,000 Civil Monetary Penalty for Supervision Failures , 7620-17 |
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CFTC Orders Citibank, N.A. and London-based Citigroup Global Markets Limited to Pay a $550,000 Penalty for Swap Data Reporting Violations Involving Legal Entity Identifier Information and Related Supervision Failures , 7616-17 |
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CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to Settle Charges of Supervision Failures and Recordkeeping Violations , 7615-17 |
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CFTC Charges Nicholas Gelfman and Gelfman Blueprint, Inc. with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Bitcoin Ponzi Scheme , 7614-17 |
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CFTC Charges Monex Deposit Company, its Affiliates, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 7609-17 |
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CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a $150,000 Civil Monetary Penalty for Registration Violations , 7608-17 |
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CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations , 7606-17 |
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CFTC Charges South Carolina Resident Thomas Lanzana, Florida Resident Nikolay Masanko, and Their Companies Blackbox Pulse, LLC and White Cloud Mountain, LLC with Fraud, Misappropriation, and Registration Violations , 7605-17 |
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Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action , 7603-17 |
