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CFTC Orders BNP Paribas Securities Corp. to Pay a $140,000 Penalty to Settle Charges of Improper Investment of Customer Segregated Funds , 7265-15 |
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CFTC Charges Chicago Trader Igor B. Oystacher & His Proprietary Trading Company, 3 Red Trading LLC, with Spoofing and Employment of a Manipulative and Deceptive Device while Trading E-Mini S&P 500, Copper, Crude Oil, Natural Gas, and VIX Futures Contracts , 7264-15 |
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Federal Court in Ohio Orders Bradley A. Miklovich, a Former Associated Person of Rice Investment Company, to Make Full Restitution for Unauthorized Trading , 7261-15 |
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Federal Court Orders Alexander Glytenko and His Company, Direct Investment Products, Inc., to Pay a Monetary Penalty and Restitution Totaling More than $3.8 Million in Connection with Commodity Pool Fraud , 7259-15 |
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CFTC Orders Minneapolis-based Alfred C. Toepfer International, Inc. to Pay $400,000 for Inaccurately Reporting Positions in Multiple Grains , 7258-15 |
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CFTC Charges Florida-Based Guardian Asset Group, LLC and Andrew Kurzbard with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7257-15 |
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CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures , 7255-15 |
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CFTC to Issue Whistleblower Award of Approximately $290,000 , 7254-15 |
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CFTC Orders Florida Resident Barbara Cohen and Her Company, Pure Reason, LLC, to Pay a $140,000 Penalty for Cohen’s False Statements to the CFTC and for Not Disclosing that Profitable Trading Results Were Based on Hypothetical Trading , 7253-15 |
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CFTC Orders Florida Resident Alan M. Kneller and His Company American Portfolio Asset Management, Inc. to Pay Restitution and a Civil Monetary Penalty Totaling More than $578,000 in Precious Metals Enforcement Action , 7252-15 |
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CFTC Order Imposes a Monetary Penalty and Permanent Trading and Registration Bans against Daniel Bowman for Violating Speculative Position Limits in Live Cattle Futures , 7251-15 |
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CFTC Charges Florida Resident Todd Owen Marshall and His Companies Harvard Assets LLC, London Assets Inc., and Harvard International Trading, Inc. with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations , 7250-15 |
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CFTC Orders Georgia Resident Michael E. Simmons and His Company Global Consortiums, LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $589,000 for Engaging in Foreign Exchange Commodity Pool Fraud , 7249-15 |
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Federal Court in Illinois Orders Futures International LLC and its Chief Operating Officer, Amedeo Cerrone, to Pay $500,000 Penalty for Recordkeeping Violations, False Statements, Unauthorized Trading, and Supervision Failures , 7246-15 |
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CFTC Charges New York Corporations Safety Capital Management, Inc. & GNS Capital, Inc., both d/b/a FOREXNPOWER, & New York City Residents John Won, Sungmi Kang & Tae Hung Kang with Fraudulently Soliciting Over $1.5 Million in a Forex Fraud Scheme , 7245-15 |
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CFTC Orders Russian Resident Yakov Shlyapochnik and His Connecticut-Based Company, Nord Capital Advisors LLC, to Pay a $280,000 Penalty for Failing to Disclose Company’s Principal in Registration Filings and for Company’s Fraudulent Solicitation , 7243-15 |
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CFTC Orders Cargill de México SA De CV to Pay $500,000 for Unlawfully Executing Wash Sales on the CBOT and KCBT , 7241-15 |
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CFTC Settles with TeraExchange LLC for Failing to Enforce Prohibitions on Wash Trading and Prearranged Trading in Bitcoin Swap , 7240-15 |
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CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay $171,800 Civil Monetary Penalty and Imposes Permanent Trading and Registration Bans for Engaging in Deceptive Trade Allocation Scheme , 7235-15 |
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CFTC Charges Florida Company Mintco LLC and Florida Residents Stuart Rubin and Richard Q. Zimmerman with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Defrauding Customers , 7234-15 |
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay a $150,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swap Positions , 7233-15 |
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CFTC Orders Indiana Resident Terry Lee Phillips and his Two Companies to Pay Restitution and a Civil Monetary Penalty Totaling More than $234,000 for Fraud and Misappropriation , 7232-15 |
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CFTC Orders Bitcoin Options Trading Platform Operator and its CEO to Cease Illegally Offering Bitcoin Options and to Cease Operating a Facility for Trading or Processing of Swaps without Registering , 7231-15 |
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CFTC Charges California Resident Hannes Tulving, Jr., through his company, The Tulving Company, Inc., with Misappropriation and Fraudulent Solicitation in a $17.8 Million Precious Metals Scheme , 7228-15 |
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CFTC Publishes List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Foreign Currency and Binary Options , 7224-15 |
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Commodity Pool Operator Sentenced to 17 Years’ Incarceration for Fraud , 7223-15 |
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CFTC Orders Forex Capital Markets, LLC to Pay More Than $843,000 for Supervision and Record-Production Violations and for Violating a Previous Commission Order , 7222-15 |
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CFTC Charges Tennessee and Kentucky Residents Rodney Scott Phelps and Jason T. Castenir and Their Company, Maverick Asset Management, LLC, with Commodity Pool Fraud and Other Violations , 7221-15 |
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Federal Court in North Carolina Enters Judgment against Ron Earl McCullough and David Christopher Mayhew in Foreign Currency Ponzi Scheme , 7220-15 |
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Federal Court in Illinois Orders Former Sentinel Management Group, Inc. Senior Vice President Charles K. Mosley to Pay More than $2 Million for Misusing Customer Funds , 7217-15 |
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CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 , 7216-15 |
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CFTC Charges New York Resident Gary Creagh and his Company, Wall Street Pirate Management, LLC, with Making False Statements to the National Futures Association , 7210-15 |
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CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures , 7209-15 |
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New York Federal Court Orders New York Financial Advisor Wayne P. Weddington III and His Companies to Pay More than $1 Million for Commodity Pool Fraud and Unregistered Activity , 7208-15 |
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CFTC Charges Illinois Resident Husam Tayeh, Dinar Corp., Inc., and My Monex, Inc. with Fraud and Other Violations Involving Foreign Currency Scheme , 7206-15 |
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Court Orders $76 Million in Civil Monetary Penalties against Keith F. Simmons, Deanna Salazar and Their Companies in Connection with Foreign Currency Ponzi Scheme , 7205-15 |
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Federal Court Orders Florida Attorney Jay Bruce Grossman to Pay a Civil Penalty and Restitution Totaling $883,000 , 7201-15 |