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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rules and Regulations Pertaining to Segregated and Secured Amount Funds , 6894-14 |
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CFTC Charges New York-Based SK Madison Commodities, LLC and its principals, Michael James Seward and Yan Kaziyev, with Commodity Pool Fraud and Other Violations , 6892-14 |
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Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool Scheme , 6891-14 |
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CFTC Orders Morgan Stanley Capital Group Inc. to Pay $200,000 Penalty for Violating Soybean Meal Futures Speculative Position Limits , 6889-14 |
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An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole and Global Strategic Marketing, Inc. to Pay over $2.2 Million in Sanctions in Connection with Foreign Currency Ponzi Scheme , 6887-14 |
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CFTC Charges Dallas-based Steven Lyn Scott with Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 6885-14 |
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CFTC Charges Florida-Based Gold Distributors Inc. and Its Owner, Jordan Cain, with Engaging in Illegal, Off-exchange Commodity Transactions , 6884-14 |
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CFTC Charges Ohioan Bradley A. Miklovich with Unauthorized Trading , 6883-14 |
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CFTC Charges South Carolina Residents Robert S. and Amy L. Leben with Commodity Pool Fraud for the Operation of a Multi-Million Dollar Ponzi Scheme , 6881-14 |
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CFTC Orders Sean R. Stropp to Pay $250,000 Penalty to Settle Charges of Making False and Misleading Statements During a CFTC Investigation , 6880-14 |
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Federal Court in Illinois Imposes over $3.5 Million in Sanctions against Dimitry Vishnevetsky and his Company, Oxford Capital, for Orchestrating Commodity Fraud Schemes and Misappropriation , 6875-14 |
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Federal Court Orders Arizona Resident Ray Thomas Brown to Pay over $1.2 Million for Solicitation Fraud and Misappropriation in Operating Two Commodity Scams , 6870-14 |
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CFTC Obtains Default Judgment against Altamont Global Partners LLC and John G. Wilkins for Commodity Pool Fraud, Misappropriation, and Making False Statements to National Futures Association , 6869-14 |
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CFTC Obtains Permanent Injunction Orders and Monetary Sanctions against Susan G. Davis, David E. Howard II, and Joseph Burgos for Fraudulent Solicitation of Managed Foreign Currency Trading Accounts , 6868-14 |
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CFTC Charges Melody Nganthuy Phan of California and Her Companies, My Forex Planet, Inc., Wal Capital, S.A., and Top Global Capital, Inc., with Operating a Fraudulent $3.7 Million Off-Exchange Forex Scheme , 6867-14 |
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CFTC Revokes Registrations of Colorado-Based Forex Company, Veruus Wealth Management, LLC , 6865-14 |
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CFTC Seeks to Revoke the Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Fraud and on Walji’s Conviction for Criminal Commodities Fraud , 6863-14 |
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CFTC Seeks to Revoke Registration of Introducing Broker iFinix Futures, Inc. , 6862-14 |
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CFTC Revokes Registrations of Oregon Resident Joshua W. Wallace and His Company, System Capital, LLC , 6861-14 |
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CFTC Charges Ron Earl McCullough and David Christopher Mayhew with Fraudulent Solicitation, False Statements, and Misappropriation of More than$1.6 Million of Customer Funds , 6860-14 |
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CFTC Orders Florida-based Worth Asset Management and its Owner, Paul L. Kaulesar, to pay over $6.2 Million in Restitution and a Fine for Multi-Million Dollar Fraudulent Precious Metals Scheme , 6859-14 |
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CFTC Revokes Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC , 6858-14 |
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Federal Court Orders North Carolina Resident Michael Anthony Jenkins and his Company, Harbor Light Asset Management, to Pay over $5.2 Million for Solicitation Fraud, Misappropriation, and Embezzlement in a Ponzi Scheme , 6855-14 |
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Federal Court in Nebraska Imposes More than $10 Million in Sanctions against Michael B. Kratville, Jonathan W. Arrington, Elite Management Holdings Corp., and MJM Enterprises LLC for Commodity Pool Fraud , 6854-14 |
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Federal Court in Florida Orders James Burbage, Frank Gaudino, and Their Companies to Pay over $5 Million in Restitution and Penalties to Settle Charges Related to Illegal, Off-Exchange Precious Metals Transactions , 6850-14 |
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CFTC Revokes the Registrations of Chicago Trading Managers LLC , 6847-14 |
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CFTC Obtains Court Order against Arizona Resident Thomas L. Hampton for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator , 6846-14 |
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Federal Court Orders California Defendants CTI Group, LLC, Cooper Trading, Stephen Craig Symons, and James David Kline to Pay Over $29 Million in Disgorgement and Fines for Fraudulent Sale of Automated Trading Systems , 6839-14 |
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Federal Court in Texas Orders $1.5 Million in Sanctions against Defendant Mark E. Rice for Fraudulent Forex Scheme , 6828-14 |
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CFTC Orders Multigrain SA and Agricola Xingu SA to Pay $500,000 for Call Cotton Reporting Violations , 6827-14 |
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Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to Pay $50,000 to Settle Record-Keeping Violation Action , 6825-14 |
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CFTC Charges Florida-Based Vertical Integration Group LLC and Its Owners, Richard V. Morello and Junior Alexis, with Engaging in Illegal, Off-exchange Commodity Transactions , 6824-14 |
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CFTC Orders President of a Russian Bank, Artem Obolensky, to Pay $250,000 Penalty to Settle Charges of Making False Statements to the CFTC During an Investigation , 6815-14 |
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Federal Court in New York Orders Defendant David M. Nunn to Pay a $600,000 Civil Monetary Penalty for Engaging in an Illegal Coffee Futures Trading Scheme and Making False Statements to ICE Futures U.S. , 6798-13 |
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Federal Court in Florida Orders More than $8 Million in Sanctions against Defendants Philip Leon and Paul Rangel for Commodity Pool Fraud and Misappropriation , 6797-13 |
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CFTC Orders David R. Lynch to Pay More than $470,000 in Restitution and a Civil Monetary Penalty to Settle Charges of Fraudulent Misappropriation, Fraudulent Solicitations, and False Statements , 6793-13 |
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CFTC Charges Direct Investment Products, Inc. and Its Principal, Alexander Glytenko, with Commodity Pool Fraud and Misappropriation , 6791-13 |
