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CFTC Orders Florida Resident Isaac Grossman and His Company, London Metals Market LLC, to Pay over $121,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions , 6680-13 |
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CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 Penalty for Failing to Maintain Adequate Funds in Secured Accounts in Connection with Conversion by Exchange of Certain Off-Exchange Instruments to On-Exchange Products , 6679-13 |
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Federal Court Orders Matthew Marshall Taylor to Pay $500,000 for Fraud for Fabricating and Concealing Trades from Goldman, Sachs & Co., His Former Employer, and Obstructing Their Discovery , 6677-13 |
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Federal Court in Maryland Orders Sidney J. Charles, Jr. and his Company, The Borrowing Station, LLC, to pay over $600,000 to Settle CFTC Forex Fraud Action , 6676-13 |
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CFTC Permanently Bars Accountant, Jeannie Veraja-Snelling, for Failing to Properly Audit Peregrine Financial Group, Inc. , 6675-13 |
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Velocity Futures, LLC Agrees to Pay a $300,000 Penalty to Settle Charges that It Failed to Comply with Its Minimum Financial Requirements , 6674-13 |
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CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC , 6671-13 |
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Federal Court Enters $2.2 Million Default Judgment Order against Florida-based Global Precious Metals Trading Company and its Owner, Michael Ghaemi, for Operating a Fraudulent Off-Exchange Precious Metals Scheme , 6670-13 |
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CFTC Seeks to Revoke Registration of Chicago Trading Managers LLC , 6669-13 |
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CFTC Seeks to Revoke the Commodity Pool Operator and Commodity Trading Advisor Registrations of Veruus Wealth Management, LLC , 6668-13 |
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CFTC Charges Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6666-13 |
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Federal Court in Illinois Orders Chicago-Based Trader Bradley Scott Schiller to Pay more than $7.5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud , 6661-13 |
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CFTC Obtains Default Judgment against Christopher Smithers of Florida for Fraud in Connection with Futures Contracts, Fraud in Connection with Contracts of Sale of a Commodity in Interstate Commerce, and Violations of a U.S. District Court’s Prior Orders , 6659-13 |
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CFTC Charges Florida-Based AmeriFirst Management LLC and Its Owners, John P. D’Onofrio, George E. Sarafianos, and Scott D. Piccininni, in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6655-13 |
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CFTC Orders William J. Hionas and his Florida Firms, Pan American Metals of Miami and Pan American Metals of Miami Beach, to Pay Approximately $4.7 Million in Restitution and a Monetary Penalty for Fraudulent Off-Exchange Transactions in Precious Metals , 6653-13 |
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Federal Court in Illinois Orders Michael Peskin to Pay More Than $480,000 and Imposes Other Sanctions to Settle Charges that Peskin Violated A Permanent Trading Ban , 6652-13 |
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CFTC Orders Panther Energy Trading LLC and its Principal Michael J. Coscia to Pay $2.8 Million and Bans Them from Trading for One Year, for Spoofing in Numerous Commodity Futures Contracts , 6649-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against California Resident Michael J. Leighton for Defrauding Commodity Pool Participants , 6645-13 |
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CFTC Charges Texas-based RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White with Commodity Pool Fraud , 6644-13 |
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CFTC Seeks to Revoke the Registrations of Joshua Wallace and his Company System Capital, LLC Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wallace’s Conviction for Criminal Commodities Fraud , 6641-13 |
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Federal Court in New York Orders Defendant Laurence Dodge, Principal of Madison Dean, Inc., to Pay nearly $400,000 to Settle Forex Fraud Charges , 6635-13 |
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CFTC Charges MF Global Inc., MF Global Holdings Ltd., Former CEO Jon S. Corzine, and Former Employee Edith O’Brien for MF Global’s Unlawful Misuse of Nearly One Billion Dollars of Customer Funds and Related Violations , 6626-13 |
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Federal Court in Colorado Orders Michael Gale to Pay More than $1.2 Million to Settle Fraud Charges in CFTC Enforcement Action , 6621-13 |
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Federal Court Orders Alpha Trade Group S.A. and its Employees and Agents to Pay Combined Restitution and Penalties of $5.779 Million for Defrauding Pool Participants , 6620-13 |
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Federal Court Orders Chicago Resident Christopher Varlesi to Pay over $1.3 Million to Settle Ponzi Scheme Fraud and Misappropriation Action , 6619-13 |
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CFTC Charges North Carolina Resident C. David Wright with Commodity Pool Fraud , 6618-13 |
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Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes , 6615-13 |
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CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures , 6614-13 |
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Federal Court in Puerto Rico Orders Angel F. Collazo, ACJ Capital, Inc., and Solid View Capital LLC to Pay over $1.5 Million to Settle Forex Fraud Charges in CFTC Enforcement Action , 6613-13 |
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CFTC Charges North Carolina Resident James A. Shepherd and James A. Shepherd, Inc. with Commodity Pool Fraud , 6610-13 |
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CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator , 6609-13 |
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CFTC Charges “Prediction Market” Proprietor Banc de Binary with Violating the CFTC’s Off-Exchange Options Trading Ban and Operating as an Unregistered Futures Commission Merchant , 6602-13 |
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CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws , 6601-13 |
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CFTC Files Amended Complaint Which Adds Charge That Defendants Arista LLC, Abdul Sultan Walji and Reniero Francisco of California Made False Statements to the CFTC , 6600-13 |
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Federal Court Orders Utah Residents Christopher D. Hales, Eric A. Richardson and their Company Bentley Equities, LLC to Pay More Than $2.7 Million in Sanctions for Fraud , 6599-13 |
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Federal Court Orders Melissa C. Rushton to Pay $50,000 to Settle Charges Pertaining to Her Husband’s Fraudulent Operation of Summit Trading & Capital LLC , 6596-13 |
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Federal Court in New York Imposes a $1 Million Fine and other Sanctions against Kevin Cassidy, Former CEO of Optionable Inc. , 6595-13 |
