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CFTC Charges Haena Park and Her Companies Phaetra Capital GP LLC, a/k/a/ Argenta Capital GP LLC, Phaetra Capital Management LP, a/k/a Argenta Capital LLC, and Argenta Group LLC with Misappropriation and Fraud , 7382-16 |
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CFTC Orders Bitfinex to Pay $75,000 for Offering Illegal Off-Exchange Financed Retail Commodity Transactions and Registration Violations , 7380-16 |
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CFTC Orders Florida Residents Ted L. Romeo, Richard D. Schrutt, and Their Company Cypress Wealth Management Group, Inc. to Pay Restitution and Civil Monetary Penalties Totaling More than $530,000 in Precious Metals Enforcement Action , 7376-16 |
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Federal Court Orders California Resident David Bryant to Pay More than $6 Million in Restitution and Penalties for Fraud and Misappropriation , 7373-16 |
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CFTC Orders Citibank, N.A. and Japanese Affiliates to Pay $175 Million Penalty for Attempted Manipulation of Yen LIBOR and Euroyen TIBOR, and False Reporting of Euroyen TIBOR and U.S. Dollar LIBOR , 7372-16 |
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CFTC Orders Citibank to Pay $250 Million for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7371-16 |
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CFTC Orders Chicago-based Cunningham Commodities, LLC and its Controller Salvatore Carmen Russo Jointly to Pay a $150,000 Penalty for Failing to Immediately Report a Customer Segregated Account Deficiency , 7366-16 |
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CFTC Announces Additional Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents in Forex and Binary Options , 7363-16 |
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CFTC Orders New York Resident Nathan Schleifer and Galileo Trading to Pay Restitution and Penalties Totaling More than $1.6 Million for Commodity Futures Fraud , 7361-16 |
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CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and Disgorgement for Aiding and Abetting Commodity Pool Fraud , 7360-16 |
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CFTC Orders Staten Island-Resident Michael Pucciarelli and his Company, Badge Trading LLC, to Pay a $280,000 Penalty for Engaging in Unlawful Noncompetitive Exchange for Physical Transactions , 7355-16 |
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Federal Court Orders UAE Residents Heet Khara and Nasim Salim to Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets , 7353-16 |
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CFTC Announces Whistleblower Award of More Than $10 Million , 7351-16 |
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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 |
