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CFTC Charges Georgia Resident Hendrik A. Van Beuningen and His Company, DeBrink Trading Fund I, LLC, with Fraud, Misappropriation, and Registration Violations in Connection with Their Commodity Pool , 7350-16 |
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CFTC Charges Virginia Resident Tracy Lee Thomas and His Firm, Cayman Islands-Based Marbury Advisors Inc., with Fraudulently Soliciting over $1.2 Million in a Commodity Futures Scheme , 7348-16 |
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CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan Chase Bank, N.A. to Pay a $225,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7347-16 |
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Federal Court Orders Former Alabama Resident John David Stroud and His Companies to Pay More than $4.7 Million in Restitution and a Civil Monetary Penalty for Committing Commodity Pool Fraud and Misappropriation , 7346-16 |
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CFTC Orders Payment of Penalties Totaling $665,000 by Credit Suisse International for Violating the Speculative Position Limit for Wheat Futures and by Credit Suisse Securities (USA) LLC for Submitting False or Misleading Information to the CFTC , 7345-16 |
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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions , 7344-16 |
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CFTC Charges Two Binary Options Firms with Fraud, Illegal Off-Exchange Activity, and Operating in an Unregistered Capacity , 7341-16 |
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CFTC Orders Florida-based IBFX, Inc. (f/k/a TradeStation Forex, Inc.) to Pay a $1 Mln Penalty for Failing to Meet Minimum Capital Requirements, Failing to Timely Report Minimum Net Capital Violations, Supervisory Failures & Violating a Prior CFTC Order , 7338-16 |
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CFTC Orders CHS, Inc. and CHS Hedging, LLC to Pay $1 Million for Inaccurately Reporting Positions in Corn and Soybeans , 7337-16 |
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Federal Court Orders Banc de Binary Ltd., ET Binary Options Ltd., BO Systems Ltd., BDB Services Ltd. & Oren Shabat Laurent to Pay More than $9 Mln in Restitution & a Civil Monetary Penalty for Violating the CFTC’s Ban on Off-Exchange Binary Options , 7336-16 |
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CFTC Charges Florida Resident Neil Pecker and His Company, Vision Financial Partners, LLC, with Fraud in Connection with Off-Exchange Binary Options and Registration Violations , 7334-16 |
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CFTC Charges Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7331-16 |
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CFTC Charges Canadian Resident Ryan S. Magee with Fraud and Acting as an Unregistered Commodity Pool Operator , 7330-16 |
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Federal Court Orders Cindy and Paul Vandivier to Pay Civil Monetary Penalties and Restitution of Almost $3 Million to Settle CFTC Charges of Operating an Illegal, Off-Exchange Precious Metals Scheme , 7323-16 |
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Federal Court Orders New York Firm 4X Solutions, Inc. and Its Principal, Whileon Chay, to Pay More than $10 Million in Disgorgement and a Civil Monetary Penalty for Forex Fraud Ponzi Scheme , 7321-16 |
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CFTC Charges Dania Beach, Florida Resident Rico Omar Cox with Commodity Trading Advisor Fraud , 7320-16 |
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Injunction against Robert Tripode for Engaging in Fraud in Connection with Forex , 7319-16 |
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Federal Court Orders Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, to Pay $2.5 Million in Sanctions for Illegal Off-Exchange Precious Metals Scheme , 7318-16 |
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CFTC Charges Florida-Based Oakmont Financial, Inc. and Joseph Charles DiCrisci with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7317-16 |
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CFTC Launches Whistleblower Program’s Website , 7312-16 |
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CFTC Charges Oklahoma Resident Kevin J. Davis with Acting as an Unregistered Commodity Pool Operator and Engaging in Prohibited Pool Operator Activities , 7311-16 |
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CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation , 7308-16 |
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Federal Court in Illinois Orders Approximately $500 Million in Sanctions against Defendant Nikolai S. Battoo and His Three Companies for Committing a Global Commodity Futures and Options Fraud , 7306-16 |
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CFTC Charges Irvine, California Resident Ghassan Tawachi and His Company, Intelligent Trades, LLC, with Defrauding Customers in Connection with a Commodity Futures Trading System , 7304-16 |
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest , 7297-15 |
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Federal Court Orders California Resident Thomas Gillons to Pay More than $1.9 Million in Restitution and Penalties for Fraud and Misappropriation , 7292-15 |
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CFTC Files and Settles Charges against Total Gas & Power North America, Inc. and Therese Tran for Attempted Manipulation of Natural Gas Monthly Index Settlement Prices , 7289-15 |
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CFTC Imposes a Monetary Penalty and Permanently Bars California Resident Garen Ovsepyan and Forex Trading Advisors Sharpe Signa, LLC and Haeres Capital, LLC from the Commodities Industry , 7288-15 |
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CFTC Charges California Resident David Bryant with Fraud and Acting as an Unregistered Commodity Pool Operator , 7287-15 |
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CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty and Restitution and Bans Him from Trading and Registration for Engaging in Gas and Crude Oil Futures Transactions that Defrauded His Employer , 7286-15 |
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Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry , 7285-15 |
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Sentry Asset Group, LLC dba Sentry Asset Management, LLC, and John Pakel for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7281-15 |
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CFTC Charges IB Capital FX, LLC, Michel Geurkink, and Emad Echadi with Soliciting at Least $50 Million from Members of the Public for Forex Trading, without Being Registered with the CFTC , 7277-15 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2015 , 7274-15 |
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CFTC Charges Colorado Resident Gregory L. Gramalegui, Doing Business as Emini Trading School, with Fraud and Other Violations Involving a Futures Trading System and Advisory Service , 7268-15 |
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Alan James Watson, Cash Flow Financial LLC, and Michael S. Potts Ordered to Pay More than $91.9 Million in Final Disposition of Commodity Pool Ponzi Scheme Case , 7267-15 |
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Federal Court in Ohio Orders over $31 Million in Restitution and Civil Monetary Penalties against John R. Bullar and His Company, Executive Management Advisors L.L.C., for Commodity Pool Operator and Commodity Trading Advisor Fraud and Ponzi Scheme , 7266-15 |