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CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise , 7521-17 |
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CFTC’s Enforcement Division Issues New Advisories on Cooperation , 7518-17 |
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Enforcement Director Aitan Goelman to Leave CFTC , 7517-17 |
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CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures , 7516-17 |
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CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations , 7515-17 |
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CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures , 7511-17 |
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Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme , 7509-17 |
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Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for his Role in MF Global’s Unlawful Use of Nearly $1 Billion of Customer Funds and Prohibits Corzine from Registering with the CFTC in any Capacity or Associating with an FCM , 7508-17 |
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CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme , 7506-16 |
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CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7505-16 |
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Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges , 7504-16 |
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CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme , 7503-16 |
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool , 7500-16 |
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Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud , 7498-16 |
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions , 7496-16 |
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CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme , 7492-16 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2016 , 7488-16 |
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Federal Court in Chicago Orders U.K. Resident Navinder Singh Sarao to Pay More than $38 Million in Monetary Sanctions for Price Manipulation and Spoofing , 7486-16 |
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Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 Million from Members of the Public to Trade Forex, without Being Registered with the CFTC , 7485-16 |
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CFTC Submits Proposed Consent Order to Federal Court in Chicago that Would Resolve the CFTC’s Price Manipulation and Spoofing Action against U.K. Resident Navinder Singh Sarao , 7480-16 |
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Federal Court Orders Scott Platto and His Company The Yorkshire Group, Inc. to Pay More Than $1.56 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7473-16 |
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CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System , 7469-16 |
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CFTC Charges Jody Dupont of South Carolina and His Company, Open Range Trading LLC, with Commodity Trading Advisor Fraud , 7465-16 |
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CFTC Charges California Residents Joseph Dufresne, Megan Renkow, and Their Company, United Business Servicing, Inc., Doing Business as Schooloftrade.Com, with Fraudulently Marketing Commodity Futures Trading Strategies and Systems , 7464-16 |
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CFTC Charges New Jersey Residents Alcibiades Cifuentes and Jennifer Wee Cifuentes, and Cifuentes Fund Management, LLC, with Fraud and Misappropriation , 7463-16 |
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CFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil Penalty for Acting as an Unregistered Commodity Trading Advisor and for Disclosure Violations , 7462-16 |
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CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in Restitution and a Civil Monetary Penalty for Fraudulent Omissions in Connection with His Operation of ETF Trend Trading , 7461-16 |
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CFTC Charges Options Trader Thomas C. Lindstrom with Fraud , 7460-16 |
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CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 Million in Trading Profits and Pay a $1.75 Million Penalty for His Illegal Futures and Options Trading , 7459-16 |
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CFTC Charges Introducing Broker eFloorTrade, LLC and its Principal John Moore with Recordkeeping and Supervision Failures and Charges Moore for his False and Misleading Statements to the CFTC , 7458-16 |
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CFTC Orders SG Americas Securities, LLC to Pay a $750,000 Civil Monetary Penalty for its Participation in Wash Transactions and Related Supervision Failures , 7456-16 |
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CFTC Charges Kevin Michael Symons of Foothill Ranch, California and His Company, FTS Financial, Inc., with Fraud and Jerry Austin Simmons of Charlotte, North Carolina with Fraud and Failure to Register with the CFTC , 7455-16 |
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CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7454-16 |
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CFTC Orders Advanced Trading Workshop, Inc. of Jamesville, New York, to Pay a Total of $940,000 in Disgorgement and a Civil Monetary Penalty for Solicitation Fraud and Failure to Register , 7453-16 |
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CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations , 7452-16 |
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CFTC Charges Jamal Y. Vance and His Company All City Investments, LLC with Solicitation Fraud in Connection with Off-Exchange Foreign Currency Transactions and Failure to Register as a Commodity Trading Advisor , 7451-16 |
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CFTC Orders Chicago-based Advantage Futures LLC, its CEO Joseph Guinan & Former Chief Risk Officer William Steele Jointly to Pay a $1.5 Million Penalty for Supervision, Risk Management Failures & Making Inaccurate Statements in Required CFTC Filings , 7449-16 |
