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CFTC Charges Jamal Y. Vance and His Company All City Investments, LLC with Solicitation Fraud in Connection with Off-Exchange Foreign Currency Transactions and Failure to Register as a Commodity Trading Advisor , 7451-16 |
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CFTC Staff to Host a Public Roundtable on CPMI-IOSCO Guidance on CCP Resilience & Recovery , 7450-16 |
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CFTC Orders Chicago-based Advantage Futures LLC, its CEO Joseph Guinan & Former Chief Risk Officer William Steele Jointly to Pay a $1.5 Million Penalty for Supervision, Risk Management Failures & Making Inaccurate Statements in Required CFTC Filings , 7449-16 |
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CFTC Charges Florida-Based KB Concepts Group, LLC and Kelvin Burgos with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7448-16 |
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CFTC Orders Raja Michael Mawad and His Texas-Based Company, RNS Holdings LP, to Pay a Civil Monetary and Restitution Totaling More than $389,000 for Fraud and Failure to File Required Annual Reports , 7447-16 |
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CFTC Orders JSC VTB Bank and VTB Capital PLC Jointly to Pay a $5 Million Civil Monetary Penalty for Unlawfully Executing Fictitious and Noncompetitive Block Trades of Russian Ruble/U.S. Dollar Futures Contracts , 7446-16 |
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CFTC Staff Announces that Yieldbroker Pty Limited Qualifies for No-Action Relief in Connection with CFTC No-Action Letter No. 15-29 , 7445-16 |
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CFTC Wins Jury Verdict in Commodity Pool Fraud Case , 7444-16 |
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Federal Court in North Carolina Orders James A. Shepherd and His Company, James A. Shepherd Inc., to Pay More than $15 Million in a Monetary Penalty and Restitution for Commodity Pool Fraud , 7443-16 |
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CFTC Approves Final Rules for System Safeguards Testing Requirements and a Comparability Determination for Japan Uncleared Swap Margin Rules for Substituted Compliance Purposes , 7442-16 |
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CFTC Charges Fan Wang with Making False Reports in Connection with Commodity Futures Transactions , 7441-16 |
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CFTC Signs MOU with Two Mexican Authorities to Enhance Supervision of Cross-Border Regulated Entities , 7440-16 |
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Federal Court in Nevada Orders My Global Leverage, LLC and Toney Blondo Eggleston to Pay More than $1.4 Million in Restitution and a Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7439-16 |
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CFTC to Hold an Open Commission Meeting on September 8th to Consider System Safeguards Testing Requirements Final Rules and a Comparability Determination for Japan Uncleared Swap Margin Rules for Substituted Compliance Purposes , 7438-16 |
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CFTC Wins Fraud Trial against Florida-Based Precious Metals Traders Robert Escobio, Southern Trust Metals, and Loreley Overseas Corporation , 7437-16 |
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CFTC Issues No-Action Letter to Swap Dealers to Extend Collateral Rule Deadline due to Limitations with Custodial Accounts , 7436-16 |
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CFTC Seeks Public Comment on Proposed Whistleblower Rule Amendments , 7435-16 |
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CFTC Extends Comment Period on Proposed Amendments to Regulation 4.22 Regarding CPO Annual Reports , 7434-16 |
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CFTC Grants Registration to Seed SEF LLC , 7433-16 |
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CFTC Orders California Resident Irina Feldman and her Companies Cindium Inc. and Einstein Exchange Group Inc. to Pay More than $600,000 for Solicitation Fraud and Misappropriation in Commodity Pool Scheme , 7432-16 |
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CFTC Charges Forex Capital Markets, LLC with Undercapitalization, Failing to Timely Report Undercapitalization Violation, and Guaranteeing against Customer Losses , 7431-16 |
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CFTC Charges Deutsche Bank AG with Multiple Swap Reporting Violations, Related Supervision Failures, and Violation of a Prior CFTC Order , 7430-16 |
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CFTC Charges Mirko “Mick” Schacke and his Nevada-based Company TradeMasters USA, LLC with Fraud and Failing to Register with the CFTC , 7429-16 |
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CFTC Restricts Registration of Steven A. Cohen Based on Failure to Supervise , 7428-16 |
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CFTC Staff Releases Swap Dealer De Minimis Exception Final Staff Report , 7427-16 |
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Federal Court in South Carolina Orders Robert S. Leben and Amy L. Leben to Pay over $10 Million in Restitution and Penalties in CFTC Anti-Fraud Enforcement Action , 7426-16 |
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In CFTC Enforcement Action, Federal Court Orders Florida Resident Martin Sommers and His Company International Monetary Metals, Inc. to Pay over $9.8 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations , 7425-16 |
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Federal Court in California Orders Ralph Metters, aka Malachai “Moe” Levy, to Pay a $500,000 Penalty and Disgorge $500,000 of Ill-Gotten Gains for Defrauding Investors in a Foreign Currency Scheme , 7424-16 |
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CFTC Charges California Residents Frank J. Collins and Gerard Suite and Their Company, STA Opus NR LLC, with Fraud, Misappropriation, and Failing to Register with the CFTC , 7423-16 |
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CFTC Proposes to Amend the Timing for Filing Chief Compliance Officer Annual Reports by Certain Registrants , 7422-16 |
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CFTC Announces Enhancements to Protect Customer Funds , 7421-16 |
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Federal Court Orders Georgia Resident Hendrik A. Van Beuningen & His Company, DeBrink Trading Fund I, LLC, to Pay $910,000 in Sanctions to Settle CFTC Charges of Fraud, Misappropriation & Registration Violations in Connection with Their Commodity Pool , 7420-16 |
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CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures , 7419-16 |
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CFTC Announces Two Cross-Border Related Actions , 7418-16 |
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CFTC Orders Georgia Resident Jonathan A. Parker and His Company QuantX Capital, LLC to Pay a Civil Monetary Penalty and Restitution Totaling More than $1 Million for Engaging in Foreign Exchange Commodity Pool Fraud , 7417-16 |
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Federal Court in Illinois Orders John D. Briner, a Disbarred Canadian Attorney, and His Former Law Firm, MetroWest Law Corporation, to Pay $280,000 Penalty for a Money Pass Scheme , 7416-16 |
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Federal Court Orders California Resident Ghassan Tawachi and His Firm, Intelligent Trades, LLC, to Pay in Total Nearly $1.5 Million in Disgorgement and a Monetary Penalty for Defrauding Clients through a Bogus Commodity Futures Trading System , 7415-16 |
