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CFTC Charges California Residents Christopher Valois and Cynthia Wong and Their Companies with Fraud and Registration Violations , 7114-15 |
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CFTC Orders Florida Resident Anthony Lauria and His Company Gold Coast Bullion, Inc. to Pay More than $9.6 Million in Restitution and a Civil Monetary Penalty in Off-Exchange Precious Metals Fraud , 7112-15 |
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Federal Court in New York Imposes a $2.16 Million Penalty and Permanent Trading Bans against Michael A. Kardonick, Gary R. Shapoff, and Atwood & James for Forex Options Fraud and Misappropriation , 7107-15 |
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Federal Court Orders California-Based Defendants Bharat Adatia, Lions Wealth Holdings, Lions Wealth Services, and 20/20 Precious Metals to Pay over $5.3 Million in Monetary Sanctions for Multi-Million Dollar Fraudulent Precious Metals Scheme , 7106-15 |
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CFTC Imposes $3 Million Penalty against Olam International, Ltd. and Olam Americas, Inc. for Violating Cocoa Position Limits and Unlawfully Executing Noncompetitive Trades , 7104-15 |
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CFTC Orders Summit Energy Services, Inc. to Pay $140,000 Civil Monetary Penalty and Cease and Desist from Acting as an Unregistered Commodity Trading Advisor , 7103-15 |
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CFTC Obtains Judgment against Commodity Pool Operators TOTE Fund LLC and MJS Capital Management LLC, and their Principal, Michael J. Siegel, for Commodity Pool Fraud and Other Violations , 7102-15 |
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Federal Court in Florida Enters Order Freezing Assets in CFTC Foreign Currency Anti-Fraud Action against Allied Markets LLC and its Principals Joshua Gilliland and Chawalit Wongkhiao , 7100-15 |
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Federal Court Orders North Carolina Resident Edwin A. Vasquez and His Company, Vasquez Global Investments, LLC, to Pay over $1.3 Million for Commodity Pool Fraud , 7097-14 |
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Federal Court in New York Orders MF Global Holdings Ltd. to Pay $1.212 Billion in Restitution for Unlawful Use of Customer Funds and Imposes a $100 Million Penalty , 7095-14 |
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South Carolina Federal Court Enters Judgment against Robert Stanley Harrison for Commodity Pool Fraud , 7093-14 |
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Federal Court in Texas Orders Dallas-based Steven Lyn Scott to Pay $766,625.30 in Restitution and a $700,000 Penalty to Settle Charges of Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 7091-14 |
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CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures , 7089-14 |
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Federal Court Orders Royal Bank of Canada to Pay $35 Million Penalty for Illegal Wash Sales, Fictitious Sales, and Noncompetitive Transactions , 7086-14 |
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CFTC Revokes Registrations of Illinois Resident Aleks A. Kins and Chicago-based AlphaMetrix, LLC , 7085-14 |
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Federal Court Orders Commodity Pool Operator and Commodity Trading Advisor AlphaMetrix, LLC to Pay $5.6 Million in Restitution and Penalties , 7083-14 |
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Federal Court Orders Missouri Resident Daniel K. Steele and His Missouri Company, Champion Management International, LLC, to Pay over $2.5 Million in Monetary Sanction , 7080-14 |
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CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay a $600,000 Penalty for Series of Minimum Net Capital Deficits, Untimely Notice, and a Failure to Supervise , 7077-14 |
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Federal Court Orders More than $1.3 Million in Sanctions and Enters a Default Judgment Order against Florida-Based Gold Distributors, Inc. and Its Owner, Jordan Cain, for Engaging in Illegal, Off-Exchange Commodity Transactions , 7076-14 |
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Paul Greenwood Sentenced to 10 Years in Federal Prison for Billion-Dollar Investment Scam , 7074-14 |
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CFTC Orders Pennsylvania Resident Christopher A. Engel and Pinnacle Forex Group LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $819,000 for Engaging in Commodity Pool Fraud and Misappropriation , 7073-14 |
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CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws , 7070-14 |
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CFTC Seeks to Revoke the Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wilkins’ Related Criminal Conviction , 7069-14 |
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CFTC Charges California Resident Thomas Gillons with Fraud and Acting as an Unregistered Futures Commission Merchant , 7067-14 |
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CFTC Sanctions Rosenthal Collins Group for Supervision Violations , 7057-14 |
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CFTC Orders Five Banks to Pay over $1.4 Billion in Penalties for Attempted Manipulation of Foreign Exchange Benchmark Rates , 7056-14 |
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Federal Court in Florida Freezes Assets of Emini Experts LLC, Capital Trading Concepts LLC, Dante S. Giovannetti, and Relief Defendant Capital Futures LLC in Ongoing Fraud Scheme , 7052-14 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2014 , 7051-14 |
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Federal Court Permanently Bans North Carolina Resident Neal Hall from Trading and Registration and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions , 7045-14 |
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Federal Court Orders California Resident Ryan A. Nassbridges and his California Companies to Pay over $18 Million in Civil Monetary Penalties in a Commodity Pool Precious Metals Scheme , 7044-14 |
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CFTC Obtains Default Judgment against Texas-Based Financial Robotics, Inc. for Fraudulent Forex Scheme , 7043-14 |
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Federal Court Orders Boston Resident John B. Wilson and His Company, JBW Capital LLC, to Pay a Civil Penalty of More than $2.8 Million for Commodity Pool Fraud , 7041-14 |
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CFTC Revokes Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Walji’s Conviction for Criminal Commodities Fraud , 7039-14 |
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CFTC Revokes Registration of iFinix Futures, Inc. Based on Federal Court’s Permanent Injunction , 7038-14 |
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CFTC Orders Former CBOT Floor Broker Kent Woods to Pay $200,000 Penalty and Charges Introducing Broker Futures International LLC and Chief Operating Officer Amadeo Cerrone with Trade Practice Violations and Supervision Failures , 7034-14 |
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Federal Court Orders Florida Resident Richard Morello and His Florida Company, Vertical Integration Group LLC, to Pay over $2.5 Million in Monetary Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7033-14 |
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CFTC Settles Action against Friedberg Mercantile Group, Inc., a Registered Futures Commission Merchant, for Secured Amount Deficiency, Commingling of Customer Funds and Failure to Timely Report Secured Amount Deficiency , 7032-14 |