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CFTC Charges Florida-based Forex Monthly Income Fund, LLC and its Principals Jean Chauvel, Renaud Pierre-Charles, and Employee and Agent Robert Tripode with Forex Pool Fraud and Other Violations , 7029-14 |
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California Federal Court Permanently Bans Glenn Kane Jackson and Highlands Capital Management from Trading and Registration in Action by CFTC Charging Commodity Pool Fraud , 7027-14 |
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Federal Court Orders Eric Moncada to Pay $1.56 Million Penalty for Attempting to Manipulate the Wheat Futures Market , 7026-14 |
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CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors LLC , 7025-14 |
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CFTC Charges Florida Company International Monetary Metals, Inc. and Florida Resident Martin Sommers with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7023-14 |
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CFTC Orders Utah Resident Scott A. Beatty and his Company, Peak Capital Management Group, Inc., to Pay over $1.6 Million for Forex Fraud and Making False Statements to the CFTC During an Investigation , 7022-14 |
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CFTC Files Complaint Charging Daniel Shak of Las Vegas with Violating a CFTC Order Settling Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 7020-14 |
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CFTC Orders Fan Zhang to Pay $250,000 for Engaging in Fictitious Sales and Noncompetitive, Prearranged Trades on CME and CBOT , 7019-14 |
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CFTC Charges Illinois Resident Gerald J. Considine and His Companies, Novo Trading and Considine Trading, with Fraudulent Solicitation and Misappropriating More than $1.65 Million of Customer Funds , 7018-14 |
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CFTC Charges Florida-Based Inter-Global Currency & Precious Metals LLC and Stavros Papastavrou with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7017-14 |
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CFTC Charges Delaware Depository Services Company with Confirming the Execution of Off-Exchange Precious Metals Transactions , 7014-14 |
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CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT , 7013-14 |
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CFTC Orders Florida Resident Louis J. Ferone to Pay Restitution and a Civil Monetary Penalty Totaling More than $155,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7012-14 |
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CFTC Charges Gregory Christopher Evans with Unauthorized Trading and Concealing Trading Losses , 7011-14 |
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FXDirectDealer, LLC Ordered to Pay $600,000 Civil Monetary Penalty and to Comply with Three-Year Registration Ban as FCM or RFED for Violating Minimum Financial Requirements and a Prior CFTC Order , 7009-14 |
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CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher to Pay $525,000 Penalty for Violating Speculative Position Limits in Live Cattle Futures , 7008-14 |
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CFTC Orders Georgia Resident Todd Young and His Company, Young Scott & Associates, to Cease Illegal Fictitious Precious Metals Sales , 7007-14 |
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CFTC Charges Ohio Resident John R. Bullar and his Company, Executive Management Advisors L.L.C., with Fraud and Embezzlement in Operating an $8.3 Million Commodity Pool and Ponzi Scheme , 7006-14 |
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CFTC Orders Florida Resident Sean F. McCabe and His Company WorldPMX, Inc. to Pay Restitution and a Civil Monetary Penalty of More than $1.1 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7003-14 |
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CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action , 7002-14 |
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CFTC Charges Ohio Resident Glen Galemmo with Commodity Pool Fraud in a Multi-Million Dollar Ponzi Scheme , 7001-14 |
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Federal Court Orders Brian Hunter of Calgary, Alberta to Pay a $750,000 Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas Futures Prices during the Expiry on Two Trading Days , 7000-14 |
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CFTC Fines Morgan Stanley Smith Barney for Supervision and Records Failures Relating to Its “Know Its Customer” Procedures , 6998-14 |
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CFTC Orders Zulutrade Inc. to Pay $150,000 Penalty and Disgorge Profits of $80,000 to Settle Charges of Failure to Supervise Activities Relating to Its Business as a CFTC Registrant , 6992-14 |
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CFTC Charges Florida Attorney Jay Bruce Grossman with Aiding and Abetting Illegal Metals Transactions and Fraud , 6990-14 |
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CFTC Charges California Resident Ralph Metters with Forex Fraud , 6987-14 |
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CFTC Orders FirstRand Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT , 6985-14 |
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CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures , 6984-14 |
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CFTC Charges Colorado Company R2 Capital Group, LLC, and its owners, Ryan Tomazin, Ryan Madigan, Randell A.Vest, RAST Investor Group, LLC, Madigan Enterprises, Inc., and Bulletproof Vest, Inc. with Fraud and Misappropriation , 6981-14 |
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CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia to Pay over $2.9 Million in Restitution and Permanently Bars Them from the Commodities Industry , 6980-14 |
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CFTC Orders New York Resident Jacob N. Stein to Pay More than $344,000 in Restitution and Civil Monetary Penalty for Commodity Pool Fraud and Misappropriation , 6975-14 |
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CFTC Charges North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments, LLC with Commodity Pool Fraud , 6974-14 |
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Federal Court in Florida Imposes over $35 Million in Sanctions against Florida Company AmeriFirst Management LLC and its Principals, John P. D’Onofrio, George E. Sarafianos, and Scott D. Piccininni, for Fraudulent Precious Metals Scheme , 6973-14 |
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Federal Court Orders Florida Resident Lawrence Scott Spain and His Florida Company, Palm Beach Capital LLC, to Pay More than $520,000 in Restitution for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 6972-14 |
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Federal Court Orders $13 Million Fine in CFTC Crude Oil Manipulation Action against Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA, and Crude Oil Traders James Dyer and Nicholas Wildgoose , 6971-14 |
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Federal Court Orders Former Citigroup Director, John Aaron Brooks, to Pay $500,000 for Defrauding Two Citigroup Companies by Mismarking and Inflating the Value of His Position in Ethanol Futures to Conceal His Trading Losses , 6970-14 |
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CFTC Charges Florida-Based Southern Trust Metals, Inc. and Robert Escobio, and His BVI-Based Entity Loreley Overseas Corp., with Operating an Illegal Precious Metals Scheme, among other Violations , 6969-14 |