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CFTC Wins Fraud Trial against Hunter Wise Related Precious Metals Firms and Their Owners , 6935-14 |
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CFTC Charges Florida Residents Cindy and Paul Vandivier and Their Company, Mintline, Inc., with Fraud in Connection with Illegal, Off-Exchange Commodity Transactions , 6934-14 |
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CFTC Issues First Whistleblower Award , 6933-14 |
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Global Futures & Forex, Ltd. Ordered to Pay $200,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6932-14 |
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CFTC Charges Florida-Based Palm Beach Capital LLC and Lawrence Scott Spain with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 6931-14 |
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CFTC Charges RP Martin Holdings Limited and Its Subsidiary, Martin Brokers (UK) Limited, with Manipulation and Attempted Manipulation of Yen Libor , 6930-14 |
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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 , 6929-14 |
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CFTC’s Technology Advisory Committee to Meet on June 3, 2014 , 6928-14 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to Clear Markets North America, Inc , 6927-14 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Announces Streamlined Approach for Considering Requests for Relief from Registration for Delegating Commodity Pool Operators , 6926-14 |
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CFTC’s Global Markets Advisory Committee to Meet May 21, 2014 , 6925-14 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to ICAP Global Derivatives Limited , 6924-14 |
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CFTC Amends Complaint against Banc de Binary, Ltd. to Charge Three Affiliated Corporate Entities with Violating the CFTC’s Ban on Trading Options Contracts Off-Exchange , 6923-14 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for OTC Clearing Hong Kong Limited , 6922-14 |
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CFTC Announces Departure of Legislative Affairs Director John Riley , 6921-14 |
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CFTC Expands Portal Capabilities to Make Market Participant Electronic Submissions Easier, more Efficient , 6920-14 |
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Federal Court Freezes Assets of EJS Capital Management, LLC, Alex Vladimir Ekdeshman and Edward J. Servider and Relief Defendants in CFTC Action Charging Misappropriation of Nearly $2 Million in Ongoing Forex Fraud Scheme , 6919-14 |
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CFTC Further Implements Trade Execution Mandate , 6918-14 |
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Federal Court Orders James C. Yadgir of Palatine, Illinois to Pay $130,000 Penalty for Violating Speculative Position Limits for Cattle Futures , 6917-14 |
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Federal Court Orders Illinois CPA Michael Tunney and His Accounting Firm, Tunney & Associates, P.C., to Pay a $100,000 Penalty for Improper Audits of a Commodity Futures Firm , 6916-14 |
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CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Designated Contract Markets or Swap Execution Facilities , 6915-14 |
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CFTC Obtains a Permanent Injunction against Australian Firm Halifax Investment Services, Ltd., Charged with Acting as an Unregistered Retail Foreign Exchange Dealer , 6914-14 |
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CFTC Charges New York Financial Advisor Wayne Pennoyer Weddington III & His Companies, Brunswick Capital & Brunswick Capital Partners, with Solicitation Fraud, Making False Statements & Registration Violations in Connection with Operating a Commodity Pool , 6913-14 |
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CFTC Orders Florida Resident Derek J. Bridges and His Companies, Empire Sterling Metals Corp. and I.P.M. Investments, Inc., to Cease Illegal Fictitious Precious Metals Sales , 6912-14 |
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CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to GTX SEF, LLC , 6911-14 |
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CFTC’s Divisions of Market Oversight and Swap Dealer and Intermediary Oversight Provide Conditional No-Action Relief with Respect to Swaps Trading on Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States , 6910-14 |
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CFTC Orders California, Florida, and Nevada Companies and Their Owners to Pay More than $940,000 in Restitution to Defrauded Customers for Offering Illegal, Off-Exchange Precious Metals Transactions , 6909-14 |
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Capital Market Services, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6908-14 |
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CFTC Seeks Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts , 6907-14 |
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CFTC Staff Issues an Extension of Time-Limited No-Action Relief to Futures Commission Merchants (FCMs) , 6906-14 |
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CFTC Releases Rule Enforcement Review of OneChicago, LLC , 6905-14 |
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Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered by Federal Court in CFTC Action , 6904-14 |
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Federal Court Orders Two Florida Men and Their Companies to Pay More than $3.3 Million in Restitution and Penalties to Settle Charges Stemming from Role in Illegal, Off-Exchange Precious Metals Transactions , 6903-14 |
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Federal Court Orders Ward Onsa of Marco Island, Florida and His Company, New Century Investment Management LLC of Southampton, Pennsylvania to Pay $5.7 Million Civil Monetary Penalty for Operating a Commodity Pool Ponzi Scheme , 6902-14 |
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OTC Derivatives Regulators Issue Report to the G20 , 6901-14 |
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Federal Court Orders St. Augustine, Florida Couple and Their Company to Pay $5.76 Million for Defrauding Customers in Foreign Currency Scheme , 6900-14 |
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CFTC, OFR Sign Memorandum of Understanding to Improve Data Quality , 6899-14 |
