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The CFTC and 27 State Securities Regulatory Agencies Charge Los Angeles Area Precious Metals Dealer in Ongoing $68 Million Fraud Targeting the Elderly , 8489-22 |
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CFTC Charges South Florida Resident and His Firm for Operating a $9.8 Million Commodity Futures and Options Fraud , 8487-22 |
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CFTC Charges Five Entities and Five Individuals with $58 Million Foreign Currency Fraud and Misappropriation Scheme , 8486-22 |
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CFTC Orders Two Florida Men to Pay $280,000 for Registration and Reporting Violations , 8485-22 |
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Federal Court Orders Kentucky Resident to Pay $17 Million for Defrauding Commodity Futures Clients , 8481-22 |
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CFTC Issues Order Suspending Mississippi Man’s Registrations as a Commodity Trading Advisor and Associated Person , 8480-22 |
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CFTC Orders Event-Based Binary Options Markets Operator to Pay $1.4 Million Penalty , 8478-22 |
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CFTC Charges New Jersey-Based Entities and Individuals With Multi-Million Dollar Forex Fraud , 8477-21 |
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CFTC Orders Dubai Traders and Their Firms to Pay $100,000 for Wash Sales , 8476-21 |
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Federal Court Orders Washington State Feedyard to Pay $263 Million for Phantom Cattle Fraud Scheme and Violating Position Limits , 8471-21 |
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CFTC Orders JPMorgan to Pay $75 Million for Widespread Use by Employees of Unapproved Communication Methods and Related Recordkeeping and Supervision Failures , 8470-21 |
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CFTC Charges Puerto Rico Resident and His Firm for Misappropriation of Nonpublic Information and Fictitious Trading , 8468-21 |
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Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme , 8467-21 |
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Federal Court Orders California Forex Firm and Its Owners to Pay Over $4 Million for Pool Fraud and Registration Violations , 8465-21 |
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CFTC Awards Approximately $1 Million to Two Whistleblowers , 8463-21 |
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Federal Court Orders Florida Man and Foreign Defendants to Pay $7 Million for Role in Fraudulent Binary Options and Digital Asset Scheme , 8460-21 |
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CFTC Orders United States Commodity Funds LLC to Pay $2.5 Million for Failure to Fully Disclose Information Relating to Trading Limitations to Commodity Pool Participants , 8457-21 |
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CFTC Charges New Jersey Resident and His Company with Fraudulent Solicitation, Misappropriation, and Violating Consent Order , 8454-21 |
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CFTC Awards Nearly $200 Million to a Whistleblower , 8453-21 |
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CFTC Charges El Paso Resident and His Firm in Ongoing $3.9 Million Forex and Cryptocurrency Fraud and Misappropriation Scheme , 8452-21 |
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CFTC Charges Energy Broker, Its Owners, and Affiliated Firms with Fraud, Unauthorized Trading, and Supervision Violations , 8451-21 |
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CFTC Sanctions UBS AG $500,000 For Failing to Retain Certain Required Audio Recordings , 8448-21 |
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Federal Court Orders Suffolk New York Man and His Company to Pay $370,000 for Commodity Pool Fraud and Misappropriation , 8447-21 |
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CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme , 8446-21 |
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CFTC Charges Two Men and Their Companies with Commodity Pool Fraud, Other Violations , 8445-21 |
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CFTC Orders ICE Clear Europe Limited to Pay a $450,000 Civil Monetary Penalty for Violating Customer Protection Regulations , 8443-21 |
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CFTC Orders Cargill to Pay $750,000 for Swap Reporting Failures and Failure to Supervise , 8442-21 |
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CFTC Charges Nigerian and American Citizens Operating as PrimeFX with Forex and Bitcoin Fraud and Misappropriation , 8441-21 |
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CFTC Charges Unregistered Commodity Trading Advisor, its Manager and a Managed Fund with Misappropriation and Fraud , 8438-21 |
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CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures , 8437-21 |
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CFTC Orders California Company to Pay $100,000 for Failing to Register as a Swap Execution Facility , 8435-21 |
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CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered , 8434-21 |
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CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required , 8433-21 |
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CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures , 8432-21 |
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CFTC Orders Nevada Man and His Company to Pay $374,000 for Fraudulent Solicitation and Misappropriation in Forex Scheme , 8431-21 |
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CFTC Imposes $650,000 Penalty Against Refinitiv US SEF LLC for Swap Reporting Failures , 8430-21 |
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CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures , 8429-21 |
