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CFTC Orders ACI Capital Group, L.L.C. and Alexandre P. Guimaraes to Pay Approximately $850,000 in Restitution and Penalty to Settle Forex Fraud Charges , 6257-12 |
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CFTC Charges Michael J. Leighton of Torrance, Calif., with $1.6 Million Commodity Pool Fraud , 6256-12 |
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CFTC Charges New York Firm Madison Dean, Inc., and its Principals, George Athanasatos and Laurence Dodge, with Forex Fraud , 6254-12 |
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CFTC Obtains Default Judgment against Former Florida Resident Juvenal E. Machado and His Company, Invers Forex, LLC, for Off-Exchange Forex Scam , 6253-12 |
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Federal Court in New York Orders Thomas Qualls and His Company, International Foreign Currency, to Pay More than $4.6 Million in Restitution and Penalties in Connection with Off-Exchange Forex Futures Fraud , 6251-12 |
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CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation , 6250-12 |
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CFTC Charges Illinois Resident Dimitry Vishnevetsky and His Company, Oxford Capital, LLC, with Commodity Pool Fraud , 6249-12 |
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Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer , 6248-12 |
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CFTC Charges Sidney J. Charles, Jr. and his Maryland-based Company, The Borrowing Station, LLC, in Forex Ponzi Scheme , 6247-12 |
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Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc. , 6245-12 |
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CFTC Orders Texas-based PassThrough Investments, LLC, and its Principals, Stephen Brantley and Dwayne Bryant Dawson, to Pay over $1.1 Million in Sanctions to Settle CFTC Charges of Fraud in Operating a Forex Trading Pool , 6244-12 |
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CFTC Settles Action against Florida Resident Ghassan Tawachi for Fraud and Misappropriation , 6243-12 |
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CFTC Charges Georgia Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and Misappropriation , 6242-12 |
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Federal Court in California Orders Forex Liquidity LLC to Pay $400,000 for Failing to Maintain Required Net Capital and Books and Records , 6240-12 |
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Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts and Making False Statements , 6239-12 |
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Federal Court Orders Colorado Defendants Flint-McClung Capital LLC and Shawon McClung to Pay over $6 Million in CFTC Action Charging Them with Running Forex Ponzi Scheme , 6236-12 |
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Virginia Federal Court Orders Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, to Pay More than $3 Million in Forex Ponzi Scheme , 6235-12 |
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CFTC Revokes Registration of Robert Wayne Mansell , 6231-12 |
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CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production Violations , 6230-12 |
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CFTC Charges Brad Lee Demuzio of Idaho and his Company, Demuzio Capital Management, with Operating a Fraudulent $1.8 Million Commodity Pool and Forex Ponzi Scheme , 6229-12 |
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Federal Court in Texas Orders Total Call Group, Inc. and its Principals to Pay over $4.8 Million in Fines for Making False Representations and Issuing False Account Statements in Forex Fraud , 6227-12 |
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay a $20 Million Civil Monetary Penalty to Settle CFTC Charges of Unlawfully Handling Customer Segregated Funds , 6225-12 |
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CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme , 6223-12 |
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CFTC Seeks to Revoke the Registrations of Illinois Resident Joseph A. Dawson and His Company, Strategic Research LLC , 6222-12 |
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Federal Court in Puerto Rico Orders Angel F. Collazo and ACJ Capital, Inc. to Pay over $3.7 Million for Solicitation Fraud and Issuing False Statements in an Off-Exchange Foreign Currency Scheme , 6218-12 |
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CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action , 6214-12 |
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CFTC Charges Florida Resident Abraham Gutterman and His Companies, Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC with Commodity Gold and Oil Options Fraud and Misappropriation , 6213-12 |
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CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices , 6210-12 |
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CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer Montgomery, and Brian Reynolds with Commodity Pool Fraud , 6207-12 |
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CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried , 6206-12 |
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CFTC Orders Chicago Futures Commission Merchant FCStone, LLC and New York Introducing Broker Commodity Operations Inc. to Pay $260,000 for Supervision Violations , 6205-12 |
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CFTC Charges MBF Clearing Corp. with Violations of Customer Fund Segregation Requirements , 6204-12 |
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CFTC Charges Florida Firm Angus Jackson, Inc. and its CFO Martin H. Bedick with Making False, Fictitious, or Fraudulent Statements to the NFA , 6203-12 |
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Federal Court in Illinois Orders City Credit Capital, (UK) Ltd. to Pay $140,000 Civil Monetary Penalty for Acting as Unregistered Retail Forex Dealer , 6202-12 |
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CFTC Charges Illinois Resident Christopher Varlesi with Commodity Pool Fraud, Misappropriation, False Statements, and Failure to Register , 6199-12 |
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J.P. Morgan Securities LLC Agrees to Pay $140,000 Penalty for Confirming the Execution of a Prearranged Trade on the CBOT , 6198-12 |
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BlackRock Institutional Trust Co. NA Agrees to Pay $250,000 Penalty to Settle Charges of Prearranged Trading and Fictitious Sales on the CBOT , 6197-12 |
