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Federal Court Orders Arizona Resident Derek Springfield and His Company, Draven, LLC, to Pay over $2.2 Million in Restitution and a Penalty in CFTC Anti-Fraud Action , 7642-17 |
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CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct & Reporting Requirements, & for Supervision Failures , 7640-17 |
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CFTC Orders Morgan Stanley and Co. Incorporated to Pay $350,000 Penalty for Omitting Futures and Options Data from Part 17 Large Trader Reports , 7638-17 |
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CFTC Charges California Resident Scott Allensworth, His Company E-Slate, Inc., Nevada Resident Robert J. Fusco, and Kentucky Resident David Weddle with Fraud, Misappropriation, and Registration Violations , 7628-17 |
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CFTC Finds that Proprietary Trading Firm Arab Global Commodities DMCC Engaged in Spoofing of Copper Futures Contracts , 7627-17 |
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Federal Court Enters More than $2 Million Judgment against Grand Island, Nebraska, Resident Who Controlled International Fraudulent Scheme , 7626-17 |
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CFTC Orders Logista Advisors LLC to Pay $250,000 for Supervision Failures Related to Spoofing on a Foreign Futures Exchange , 7623-17 |
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CFTC Charges California Residents Hasan Sarwar a/k/a Alexander Sarwar, and Rachida Elfrimi With Operating a $1.19 Million Dollar Ponzi Scheme and Registration Violations , 7622-17 |
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CFTC Orders Morgan Stanley & Co. LLC to Pay $500,000 for Supervision Failures , 7621-17 |
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CFTC Orders Connecticut-Based Tillage Commodities, LLC to Pay a $150,000 Civil Monetary Penalty for Supervision Failures , 7620-17 |
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CFTC Orders Citibank, N.A. and London-based Citigroup Global Markets Limited to Pay a $550,000 Penalty for Swap Data Reporting Violations Involving Legal Entity Identifier Information and Related Supervision Failures , 7616-17 |
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CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to Settle Charges of Supervision Failures and Recordkeeping Violations , 7615-17 |
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CFTC Charges Nicholas Gelfman and Gelfman Blueprint, Inc. with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Bitcoin Ponzi Scheme , 7614-17 |
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CFTC Charges Monex Deposit Company, its Affiliates, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme , 7609-17 |
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CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a $150,000 Civil Monetary Penalty for Registration Violations , 7608-17 |
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CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations , 7606-17 |
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CFTC Charges South Carolina Resident Thomas Lanzana, Florida Resident Nikolay Masanko, and Their Companies Blackbox Pulse, LLC and White Cloud Mountain, LLC with Fraud, Misappropriation, and Registration Violations , 7605-17 |
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Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action , 7603-17 |
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CFTC Orders Aruba-based Copersucar Trading A.V.V. to Pay a $300,000 Penalty for Executing Wash Trades on ICE , 7601-17 |
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CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures , 7598-17 |
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CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures Markets , 7594-17 |
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CFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay Restitution and Penalties Totaling More than $493,000 for Commodity Pool Fraud , 7591-17 |
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CFTC Charges California Resident Jason B. Scharf, His Worldwide Web of Companies, and Florida-Based Affiliate Marketers Michael Shah and Zilmil, Inc. with $16 Million Binary Options Fraud Scheme , 7590-17 |
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Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their Company Assurance Capital Management, LLC to Pay More than $2.4 Million in Restitution and Civil Monetary Penalties for Commodity Pool Fraud and Misappropriation , 7589-17 |
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CFTC Charges New York Resident Daniel Winston LaMarco and His Company, GDLogix Inc., with Fraud in Connection with Foreign Currency Derivatives Commodity Pool Scheme and Registration Violations , 7588-17 |
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CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees , 7582-17 |
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CFTC Enters into Non-Prosecution Agreements with Former Citigroup Global Markets Inc. Traders Jeremy Lao, Daniel Liao, and Shlomo Salant , 7581-17 |
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Federal Court in North Carolina Orders Tracy Lee Thomas and His Company, Marbury Advisors Inc., to Pay More than $4.4 Million for Fraudulently Soliciting Customers , 7579-17 |
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CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting Violations , 7578-17 |
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Federal Court in New York Imposes Permanent Registration and Trading Bans against Defendants Gary Creagh and His Company, Wall Street Pirate Management, LLC, and Orders Them to Pay a $125,000 Civil Monetary Penalty , 7577-17 |
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CFTC Charges New Jersey Resident Michael S. Wright and New York Firm Wright Time Capital Group LLC (d/b/a Global FX Club) with Solicitation Fraud and Misappropriation in connection with a Pooled Investment in Foreign Currency Derivatives Trading , 7576-17 |
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CFTC Order Finds that McVean Trading & Investments, LLC; Charles Dow McVean, Sr.; Michael J. Wharton & Samuel C. Gilmore Used a Manipulative or Deceptive Device & Exceeded Position Limits in the Live Cattle Futures Market & Imposes Penalties of $5 Mln , 7574-17 |
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Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7572-17 |
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CFTC Charges Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong, Hyun Joo Hong a/k/a Grace Hong, and Her Company Pishon Holding LLC with Fraudulently Soliciting More than $11 Million from Customers in Connection with Trading Futures , 7569-17 |
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CFTC Charges Estonian Company Tallinex with Fraud and Failure to Register as a Retail Foreign Exchange Dealer and Nevada Company General Trader Fulfillment with Failure to Register as an Introducing Broker , 7568-17 |
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CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets , 7567-17 |
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Federal Court in Florida Orders K.B. Concepts Group, LLC and Kelvin Burgos to Pay More than $486,300 in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7564-17 |