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CFTC Orders Aruba-based Copersucar Trading A.V.V. to Pay a $300,000 Penalty for Executing Wash Trades on ICE , 7601-17 |
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CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures , 7598-17 |
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CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures Markets , 7594-17 |
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CFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay Restitution and Penalties Totaling More than $493,000 for Commodity Pool Fraud , 7591-17 |
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CFTC Charges California Resident Jason B. Scharf, His Worldwide Web of Companies, and Florida-Based Affiliate Marketers Michael Shah and Zilmil, Inc. with $16 Million Binary Options Fraud Scheme , 7590-17 |
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Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their Company Assurance Capital Management, LLC to Pay More than $2.4 Million in Restitution and Civil Monetary Penalties for Commodity Pool Fraud and Misappropriation , 7589-17 |
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CFTC Charges New York Resident Daniel Winston LaMarco and His Company, GDLogix Inc., with Fraud in Connection with Foreign Currency Derivatives Commodity Pool Scheme and Registration Violations , 7588-17 |
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CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees , 7582-17 |
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CFTC Enters into Non-Prosecution Agreements with Former Citigroup Global Markets Inc. Traders Jeremy Lao, Daniel Liao, and Shlomo Salant , 7581-17 |
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Federal Court in North Carolina Orders Tracy Lee Thomas and His Company, Marbury Advisors Inc., to Pay More than $4.4 Million for Fraudulently Soliciting Customers , 7579-17 |
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CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting Violations , 7578-17 |
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Federal Court in New York Imposes Permanent Registration and Trading Bans against Defendants Gary Creagh and His Company, Wall Street Pirate Management, LLC, and Orders Them to Pay a $125,000 Civil Monetary Penalty , 7577-17 |
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CFTC Charges New Jersey Resident Michael S. Wright and New York Firm Wright Time Capital Group LLC (d/b/a Global FX Club) with Solicitation Fraud and Misappropriation in connection with a Pooled Investment in Foreign Currency Derivatives Trading , 7576-17 |
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CFTC Order Finds that McVean Trading & Investments, LLC; Charles Dow McVean, Sr.; Michael J. Wharton & Samuel C. Gilmore Used a Manipulative or Deceptive Device & Exceeded Position Limits in the Live Cattle Futures Market & Imposes Penalties of $5 Mln , 7574-17 |
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Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7572-17 |
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CFTC Charges Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong, Hyun Joo Hong a/k/a Grace Hong, and Her Company Pishon Holding LLC with Fraudulently Soliciting More than $11 Million from Customers in Connection with Trading Futures , 7569-17 |
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CFTC Charges Estonian Company Tallinex with Fraud and Failure to Register as a Retail Foreign Exchange Dealer and Nevada Company General Trader Fulfillment with Failure to Register as an Introducing Broker , 7568-17 |
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CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets , 7567-17 |
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Federal Court in Florida Orders K.B. Concepts Group, LLC and Kelvin Burgos to Pay More than $486,300 in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7564-17 |
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Federal Court Orders More than $1 Million in Restitution and Civil Monetary Penalties and Permanently Bans Andrew Kurzbard and His Florida-Based Company, Guardian Asset Group, LLC, for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7561-17 |
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Federal Court Orders Utah Resident Kimball Parker and MakeYourFuture, LLC to Pay Customer Restitution and Civil Monetary Penalties for Fraud in Connection with Offering and Selling a Futures Trading System , 7560-17 |
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CFTC Strengthens Anti-Retaliation Protections for Whistleblowers and Enhances the Award Claims Review Process , 7559-17 |
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CFTC Charges Arizona Resident Cory Williams and His Company, Williams Advisory Group, LLC, with Fraudulently Soliciting and Receiving at Least $13 Million in Commodity Pool Scheme , 7556-17 |
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CFTC Charges Pennsylvania Resident William H. Powderly IV with Fraudulently Soliciting Commodity Futures Customers and Distributing False Account Statements , 7553-17 |
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CFTC Adds 71 Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Binary Options and Forex , 7551-17 |
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CFTC Charges Purported Hedge Fund Capitol Equity FX LLC and California Residents Robert Leland Johnson IV and Marisa Elena Johnson with Fraud, Misappropriation, and Registration Violations , 7550-17 |
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Federal Court Orders Relief Defendants Westward International Ltd. and Coucarin Holdings Ltd. to Disgorge Ill-Gotten Funds Totaling More than $1.77 Million in CFTC Binary Options Fraud Action , 7544-17 |
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CFTC Orders Former Citigroup Global Markets Inc. Traders Stephen Gola and Jonathan Brims to Pay $350,000 and $200,000, Respectively, and Bans Them from Trading for 6 Months for Spoofing in U.S. Treasury Futures Markets , 7542-17 |
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Davisco Foods International, Inc. Ordered to Pay $150,000 Penalty for Acting as a Futures Commission Merchant without Registering with the CFTC , 7539-17 |
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CFTC Refuses Registrations of Georgia-based Zero Chaos Advisors, LLC and Ronald Edward Fisher , 7537-17 |
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Federal Court in Florida Orders Neil Pecker and His Company, Vision Financial Partners, LLC, to Pay More than $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC Binary Options Fraud Action , 7536-17 |
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CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving Gold , 7532-17 |
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CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator Requirements , 7530-17 |
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CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for FXCM’s Defrauding of Retail Forex Customers , 7528-17 |
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CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7527-17 |
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Federal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9 Million in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7526-17 |
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CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation , 7524-17 |
