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CFTC Releases Enforcement Division’s Annual Results , 6378-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account , 6377-12 |
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Federal Court in Florida Imposes $350,000 Penalty against GlobeFX Club, Inc. and Jeremy Munson Globe for Making False Statements to the National Futures Association , 6376-12 |
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Singapore Exchange Derivatives Trading Limited’s MSCI Indonesia Index Futures Contract has been Certified and may be Offered to U.S. persons through Direct Access Effective October 2, 2012 , 6375-12 |
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Federal Court Orders Oscar Hernandez and His Companies to Pay $1.4 Million in Penalties and Bars Him from the Commodities Industry for Operating a Commodity Pool Ponzi Scheme , 6374-12 |
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Federal Court Orders Martin B. Rosenthal to Pay $1.2 Million for Aiding and Abetting the Making of False Statements to the NFA, Failing to Register as a Commodity Trading Advisor, and Violating a Previous CFTC Order , 6373-12 |
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CFTC Charges Boston Resident John B. Wilson and His Company with Commodity Pool Fraud , 6372-12 |
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CFTC Charges iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, with Making False Statements to the National Futures Association and Failing to Meet Minimum Financial Requirements , 6370-12 |
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CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil Monetary Penalty for Violating Cotton Futures Speculative Position Limits , 6369-12 |
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Florida Federal Court Orders Claudio Aliaga and His Company, CMA Capital Management, LLC, to Pay $5.5 Million in Penalties and Restitution for Operating a Forex Ponzi Scheme , 6368-12 |
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay $350,000 Penalty for Violating Wheat and Cotton Futures Speculative Position Limits , 6367-12 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time for Compliance from Certain Pre-Trade Screening Requirements , 6366-12 |
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CFTC Certifies S&P 500 Index Futures Contract Submitted by the Bolsa de Valores, Mercadorias e Futuros , 6365-12 |
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CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures , 6364-12 |
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CFTC Seeks to Revoke Registrations of Nevada Resident Gordon A. Driver and his Company, Axcess Fund Management LLC , 6363-12 |
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CFTC Charges Wisconsin Resident Eric N. Schmickle and His Company, Q Wealth Management Inc., with Operating a $5.3 Million Commodity Futures Fraud , 6362-12 |
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CFTC Seeks to Revoke Registrations of Victor E. Cilli and his Company Progressive Investment Funds, LLC , 6361-12 |
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CFTC Sanctions York Business Associates LLC d/b/a TransAct Futures, a Registered Futures Commission Merchant, $199,000 for Supervision Failures in Handling a Customer Account , 6360-12 |
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CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations , 6359-12 |
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CFTC Orders Citigroup Inc. and Citigroup Global Markets Ltd. to Pay $525,000 Penalty for Violating Wheat Futures Speculative Position Limits , 6358-12 |
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CFTC Obtains Default Judgment and Permanent Injunction Order against ProfitStars Intl, Corp. and Ulysis Starling for Engaging in a Business that Operated as a Deceit and Violating a Regulatory Disclosure Requirement , 6357-12 |
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CFTC Seeks to Revoke the Commodity Trading Advisor Registration of Pro Trading Course, LLC , 6356-12 |
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CFTC Approves Application of DTCC Data Repository, LLC for Provisional Registration as a Swap Data Repository , 6355-12 |
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CFTC Charges Grahame Rhodes of Missouri with Fraud, Misappropriation, and Commingling Funds in Multi-Million Dollar Commodity Pool Ponzi Scheme , 6354-12 |
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CFTC Charges Australian Resident Senen Pousa, U.S. Resident Joel Friant, and Their Company, Investment Intelligence Corp., with Operating a Fraudulent $53 Million Worldwide Off-Exchange Forex Scheme; Michael Dillard and Elevation Group Also Charged , 6353-12 |
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CFTC Charges Florida Resident William Jeffery Chandler with Forex Fraud and Misappropriation , 6352-12 |
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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 , 6351-12 |
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CFTC Seeks to Revoke Registrations of Linda Faye Harris and her companies, CDH Forex Investments, LLC and CDH Global Holdings, LLC , 6350-12 |
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CFTC Meeting Scheduled for September 12, 2012, Has Been Cancelled , 6349-12 |
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CFTC Staff Responds to Questions on Timing of Swap Dealer Registration Rules , 6348-12 |
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CFTC Charges Lincolnshire Trading Partners, LLC. and Scott Geisinger with Registration Violations , 6347-12 |
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CFTC Charges Nikolai S. Battoo and Four Companies He Controls with Fraud In Connection With Commodity Pools that Accepted Over $140 Million from U.S. Investors , 6346-12 |
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Federal Court in Tennessee Orders Blue Sky Capital Management Corp. and its Principal, Gregory M. Schneider, to Pay $140,000 for Making False Statements to the National Futures Association , 6345-12 |
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CFTC to Hold Open Meeting to Consider Proposed Rules on Enhancing Customer Protections and Final Rules on Adaptation of Existing Regulations to Incorporate Swaps , 6344-12 |
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Federal Court in California Orders Charles Steven Goodie and His Business, CSG Commodity Service Group, to Pay Nearly $1.2 Million to Settle CFTC Commodity Pool Fraud Action , 6343-12 |
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Federal Court in Texas Orders Christopher B. Cornett to Pay over $17 Million in Sanctions in Foreign Currency Fraud Action , 6342-12 |
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CFTC Charges Californian Jeffrey Gustaveson with Fraud, Misappropriation, and Issuing False Statements in Commodity Pool Scheme , 6341-12 |
