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FXDirectDealer, LLC Ordered to Pay $600,000 Civil Monetary Penalty and to Comply with Three-Year Registration Ban as FCM or RFED for Violating Minimum Financial Requirements and a Prior CFTC Order , 7009-14 |
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CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher to Pay $525,000 Penalty for Violating Speculative Position Limits in Live Cattle Futures , 7008-14 |
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CFTC Orders Georgia Resident Todd Young and His Company, Young Scott & Associates, to Cease Illegal Fictitious Precious Metals Sales , 7007-14 |
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CFTC Charges Ohio Resident John R. Bullar and his Company, Executive Management Advisors L.L.C., with Fraud and Embezzlement in Operating an $8.3 Million Commodity Pool and Ponzi Scheme , 7006-14 |
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CFTC Staff Provides Time-Limited No-Action Relief for Swap Execution Facilities from Certain Block Trade Requirements , 7005-14 |
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CFTC Approves Final Rule and Proposed Rule at its Open Meeting Today , 7004-14 |
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CFTC Orders Florida Resident Sean F. McCabe and His Company WorldPMX, Inc. to Pay Restitution and a Civil Monetary Penalty of More than $1.1 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7003-14 |
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CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action , 7002-14 |
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CFTC Charges Ohio Resident Glen Galemmo with Commodity Pool Fraud in a Multi-Million Dollar Ponzi Scheme , 7001-14 |
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Federal Court Orders Brian Hunter of Calgary, Alberta to Pay a $750,000 Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas Futures Prices during the Expiry on Two Trading Days , 7000-14 |
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CFTC Staff Sets Forth Enabling Process for No-Action Relief with respect to Swaps Trading on Certain Financial Markets that are Licensed in Australia and Overseen by the Australian Securities & Investments Commission , 6999-14 |
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CFTC Fines Morgan Stanley Smith Barney for Supervision and Records Failures Relating to Its “Know Its Customer” Procedures , 6998-14 |
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OTC Derivatives Regulators Issue Report to the G20 , 6997-14 |
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CFTC Announces Sponsors for Advisory Committees , 6996-14 |
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CFTC Staff Issues Exemptive Letter Providing Relief from Certain Agency Regulations to be Consistent with JOBS Act SEC Amendments , 6995-14 |
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CFTC to Hold an Open Meeting to Consider a Proposed Rule on Margin Requirements and a Final Rule on Utility Special Entities , 6994-14 |
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CFTC Staff Issues Exemptive Letter to Certain Registered Commodity Pool Operators Regarding Filing Form CPO-PQR , 6993-14 |
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CFTC Orders Zulutrade Inc. to Pay $150,000 Penalty and Disgorge Profits of $80,000 to Settle Charges of Failure to Supervise Activities Relating to Its Business as a CFTC Registrant , 6992-14 |
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CFTC Staff Issues Exemptive Letter to Commodity Pool Operators Expanding the List of Permissible Third-Party Recordkeepers , 6991-14 |
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CFTC Charges Florida Attorney Jay Bruce Grossman with Aiding and Abetting Illegal Metals Transactions and Fraud , 6990-14 |
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CFTC Staff Issues Interpretative Letter for Life Insurance Companies Investing General Account Assets , 6989-14 |
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CFTC Staff Issues No-Action Letter for Commodity Pool Operators of Commodity Pools that are not Registered Investment Companies with Wholly-Owned Trading Subsidiaries , 6988-14 |
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CFTC Charges California Resident Ralph Metters with Forex Fraud , 6987-14 |
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CFTC Staff Issues Rule Interpretation Concerning Deposit of Customer Funds with United Kingdom Depositories , 6986-14 |
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CFTC Orders FirstRand Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT , 6985-14 |
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CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures , 6984-14 |
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CFTC Names Christopher J. Kirkpatrick as Secretary of the Commission , 6983-14 |
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CFTC Staff Issues Extension of No-Action Relief to Southwest Power Pool , 6982-14 |
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CFTC Charges Colorado Company R2 Capital Group, LLC, and its owners, Ryan Tomazin, Ryan Madigan, Randell A.Vest, RAST Investor Group, LLC, Madigan Enterprises, Inc., and Bulletproof Vest, Inc. with Fraud and Misappropriation , 6981-14 |
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CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia to Pay over $2.9 Million in Restitution and Permanently Bars Them from the Commodities Industry , 6980-14 |
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CFTC Staff Issues Time-Limited, Conditional No-Action Relief Regarding Documentation of Confirmations of Uncleared Swap Transactions , 6979-14 |
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CFTC Staff Issues No-Action Letter for Clearing Corporation of India Ltd. , 6978-14 |
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CFTC Staff Issues No-Action Letter for the Chicago Mercantile Exchange, Inc. , 6977-14 |
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CFTC’s Division of Market Oversight Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 6976-14 |
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CFTC Orders New York Resident Jacob N. Stein to Pay More than $344,000 in Restitution and Civil Monetary Penalty for Commodity Pool Fraud and Misappropriation , 6975-14 |
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CFTC Charges North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments, LLC with Commodity Pool Fraud , 6974-14 |
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Federal Court in Florida Imposes over $35 Million in Sanctions against Florida Company AmeriFirst Management LLC and its Principals, John P. D’Onofrio, George E. Sarafianos, and Scott D. Piccininni, for Fraudulent Precious Metals Scheme , 6973-14 |
