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Pro Trading Course LLC’s Commodity Trading Advisor Registration Revoked , 6497-13 |
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Federal Court in Nevada Orders Charles Leroy Timberlake and Trans Global Investments, LLC to Pay $340,000 to Settle Commodity Pool Fraud Charges , 6496-13 |
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CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures , 6491-13 |
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations , 6490-13 |
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CFTC Settles Charges against Virginia Resident Alexander Giap for Engaging in Two Fraudulent Commodity Futures Trading Schemes , 6474-12 |
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CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates , 6472-12 |
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CFTC Charges Calif. Company Arista LLC and Calif. Residents Abdul Sultan Walji and Reniero Francisco with Fraud in Operating $9.5 Million Commodity Pool , 6460-12 |
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Federal Court in Texas Orders Houston-based Defendants Christopher Daley and his Company, TC Credit Service d/b/a Del-Mair Group, to Pay Over $2.6 Million for Fraud in a Commodity Pool Scheme , 6454-12 |
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CFTC Orders Goldman, Sachs & Co., a Commission Registrant, to Pay $1.5 Million for Supervision Failures , 6450-12 |
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CFTC Charges Ray Thomas Brown with Fraud, Misappropriation, and Registration Violations in Operating Two Commodity Pool Scams , 6448-12 |
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CFTC Charges Hunter Wise Commodities, Lloyds Commodities, C.D. Hopkins Financial, United States Capital Trust, Newbridge Alliance, Blackstone Metals Group, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 6447-12 |
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Federal Court in Idaho Orders CFTC Defendant Trigon Group, Inc. to Return More than $20.6 million of Ill-Gotten Gains to Victims of its Fraud , 6445-12 |
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Federal Court in New York Orders Defendants Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management to Pay over $1.8 Million for Fraud in Off-Exchange Foreign Currency Scheme , 6444-12 |
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CFTC Settles Charges against Deepak Singhal and Meera Singhal for Engaging in Illegal Trading Scheme , 6443-12 |
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CFTC Files Complaint in Federal Court against Eric Moncada, BES Capital LLC, and Serdika LLC Alleging Attempted Manipulation of Wheat Futures Contract Prices, Fictitious Sales, and Non-Competitive Transactions , 6441-12 |
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Federal Court Orders MBF Clearing Corp. to Pay $650,000 for Violating Customer Fund Segregation Requirements , 6437-12 |
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Federal Court in New York Orders Marc Perlman and iGlobal Strategic Management, LLC to Pay over $2 Million for Solicitation Fraud and Misappropriation Involving Off-Exchange Foreign Currency and a Commodity Pool Ponzi Scheme , 6432-12 |
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CFTC Orders Benjamin Hutchen, Formerly of Morgan Stanley & Co. LLC, to Pay a $300,000 Civil Monetary Penalty for Engaging in Unlawful Noncompetitive Futures Trades , 6425-12 |
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CFTC Charges Connecticut Resident Feisal Sharif with Operating a $5.4 Million Commodity Pool Ponzi Scheme and Misappropriating at least $900,000 of Pool Participants’ Funds , 6424-12 |
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CFTC Charges Ireland-based “Prediction Market” Proprietors Intrade and TEN with Violating the CFTC’s Off-Exchange Options Trading Ban and Filing False Forms with the CFTC , 6423-12 |
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CFTC Charges North Carolina Resident Michael Anthony Jenkins and his Company, Harbor Light Asset Management, LLC, with Solicitation Fraud, Misappropriation, and Embezzlement in Ponzi Scheme , 6422-12 |
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Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated , 6419-12 |
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CFTC Orders Eagle Market Makers Inc. to Pay over $223,000 in Penalties and Disgorgement to Settle Charges of Violating Corn Futures Speculative Position Limits and Failing to Supervise Traders , 6416-12 |
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CFTC Charges Matthew Marshall Taylor with Fraud for Fabricating and Concealing Trades from His Employer and Obstructing Their Discovery , 6409-12 |
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Federal Court in Idaho Orders Brad Lee Demuzio and Demuzio Capital Management, LLC, to Pay over $3 Million in Connection with CFTC Commodity Pool Forex Fraud Action , 6407-12 |
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CFTC Orders Illinois Resident Joshua T.J. Russo to Pay More than $1.8 Million in Restitution and Penalties for Futures and Options Fraud and Unauthorized Trading , 6403-12 |
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CFTC Obtains Federal Court Order against Nicholas Cosmo for Engaging in Unauthorized Futures Trading that Resulted in Tens of Millions of Dollars in Investor Losses , 6402-12 |
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Federal Court Orders Robert A. Christy and His Company, Crabapple Capital Group LLC, to Pay over $2.6 Million in Monetary Sanctions for Foreign Currency Fraud , 6400-12 |
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CFTC Orders San Gabriel, California Resident David Kaup and His Companies to Pay over $1.89 Million in Restitution and Penalties to Settle Forex Fraud and Misappropriation Charges , 6399-12 |
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CFTC Charges Floridian Christopher Smithers with Fraud in Connection with Commodity-Related Activities and Violations of a Federal Court’s Prior Orders , 6397-12 |
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 for Supervision Violations , 6395-12 |
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CFTC Charges David M. Nunn with Engaging in an Illegal Trading Scheme and Making False Statements to ICE Futures US , 6393-12 |
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CFTC Orders Farr Financial Inc. to Pay $280,000 to Settle Charges of Improper Investment of Customer Segregated Funds and Supervision Failures , 6379-12 |
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CFTC Releases Enforcement Division’s Annual Results , 6378-12 |
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Federal Court in Florida Imposes $350,000 Penalty against GlobeFX Club, Inc. and Jeremy Munson Globe for Making False Statements to the National Futures Association , 6376-12 |
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Federal Court Orders Oscar Hernandez and His Companies to Pay $1.4 Million in Penalties and Bars Him from the Commodities Industry for Operating a Commodity Pool Ponzi Scheme , 6374-12 |
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Federal Court Orders Martin B. Rosenthal to Pay $1.2 Million for Aiding and Abetting the Making of False Statements to the NFA, Failing to Register as a Commodity Trading Advisor, and Violating a Previous CFTC Order , 6373-12 |