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Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud , 6787-13 |
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Federal Court Orders Defendants Arista LLC, Abdul Sultan Walji, and Reniero Francisco, All of Southern California, to Pay over $22 Million in Restitution and Fines for Commodity Pool Fraud and Making False Statements to the CFTC , 6786-13 |
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Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud , 6784-13 |
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Federal Court in Connecticut Orders Feisal Sharif to Pay over $3 Million to Settle Fraud Charges in CFTC Action , 6782-13 |
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Daniel Shak, Former Principal of SHK Management LLC, and SHK Management LLC to Jointly Pay $400,000 Penalty to Settle CFTC Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 6781-13 |
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Federal Court Sanctions David Prescott for Forex Pool Fraud , 6779-13 |
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Federal Court in New York Orders MF Global Inc. to Pay over $1 Billion in Restitution to Customers of MF Global Inc. , 6776-13 |
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Federal Court in California Orders Thomas B. Breen, a Principal of National Equity Holdings, Inc., to Pay $1.75 million to Settle Fraud Charges in CFTC Action , 6770-13 |
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Federal Court in Massachusetts Orders Lyndon Parrilla to Pay over $17 Million in Disgorgement, Restitution, and a Penalty in Forex Fraud Scheme , 6769-13 |
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CFTC Obtains Restraining Order against Commodity Pool Operator and Commodity Trading Advisor, AlphaMetrix, LLC, Alleging Misappropriation of Pool Funds and Sending False or Misleading Statements , 6767-13 |
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CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation , 6766-13 |
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CFTC Charges Illinois Resident, CME Floor Broker and Trader James C. Yadgir with Violating Live and Feeder Cattle Futures Speculative Position Limits , 6764-13 |
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Federal Court Orders California Man Jeffrey Gustaveson to Pay over $1.6 Million for Fraud Misappropriation, and False Account Statements in Commodity Pool Scheme , 6754-13 |
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Federal Court Orders Louis J. Giddens, Jr., Anthony W. Dutton, and Michael Gomez to Pay Combined Restitution and Penalties of over $400,000 for Foreign Exchange Currency Scheme , 6753-13 |
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Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor , 6752-13 |
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CFTC Releases Enforcement Division’s Annual Results , 6749-13 |
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CFTC Files and Settles Charges Against JPMorgan Chase Bank, N.A., for Violating Prohibition on Manipulative Conduct In Connection with “London Whale” Swaps Trades , 6737-13 |
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CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. and Bharat Adatia in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6729-13 |
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CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts , 6726-13 |
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FXDirectDealer, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6725-13 |
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CFTC Charges Registered COMEX Floor Broker Dominick Anthony Cognata with Failing to Produce Required Documents in Response to a CFTC Subpoena and Seeks to Revoke His Registration , 6724-13 |
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CFTC Charges TOTE Fund LLC, MJS Capital Management LLC and their Principal, Michael J. Siegel with Commodity Pool Fraud , 6723-13 |
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CFTC Charges Ethanol Trader John Aaron Brooks with Fraud for Scheming to Conceal Trading Losses , 6716-13 |
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CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 for Violation of Customer Protection Regulation , 6715-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $525,000 Penalty for Violations of Customer Fund Segregation Requirements, Failure to Notify the CFTC of its Under-Segregation, and Misstatements to the CFTC , 6714-13 |
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CFTC Charges New York-Based The Yorkshire Group Inc. and Its Owner, Scott Platto with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 6713-13 |
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CFTC Files Enforcement Action Charging Missouri Resident Daniel K. Steele and His Foreign Currency Firm with Violations of the Commodity Exchange Act and Forex Regulations , 6712-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, for Making False Statements to the NFA and Failing to Meet Minimum Financial Requirements , 6711-13 |
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CFTC Closes Investigation Concerning the Silver Markets , 6709-13 |
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CFTC Charges ICAP Europe Limited, a Subsidiary of ICAP plc, with Manipulation and Attempted Manipulation of Yen Libor , 6708-13 |
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CFTC Orders Vision Financial Markets LLC to Pay a $140,000 Civil Monetary Penalty for Failing to Diligently Supervise its Employees , 6706-13 |
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CFTC Orders Florida Company Newbridge Metals, LLC to Pay over $1.5 Million in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6705-13 |
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CFTC Orders Foremost Trading LLC, an Introducing Broker, to Pay $400,000 for Supervision Violations , 6700-13 |
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CFTC Orders FXDirectDealer, LLC to Pay $2.74 Million for Supervision Failures Relating to Trading Platform , 6697-13 |
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CFTC Orders Futures Broker Employee Susan Butterfield to Pay $50,000 Penalty in Settlement of Charges of Making False Statements to the CFTC During Her Investigative Testimony , 6693-13 |
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Federal Court Orders Alex Ekdeshman and Paramount Management, LLC, to Pay over $2.4 million in Restitution and a Fine for Fraudulent Foreign Currency Scheme , 6690-13 |
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CFTC Orders Florida Resident Matthew L. Hall to Pay over $200,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6681-13 |
