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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 |
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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 |
