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CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System , 7469-16 |
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CFTC Approves Proposed Rule on the Application of Certain Swap Provisions of the Commodity Exchange Act in Cross-Border Transactions , 7468-16 |
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CFTC’S Division of Market Oversight Extends Time-Limited No-Action relief for Swap Execution Facilities from Certain “Block Trade” Requirements , 7467-16 |
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CFTC Signs MOU with UK Financial Conduct Authority to Enhance Supervision of Cross-Border Regulated Firms , 7466-16 |
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CFTC Charges Jody Dupont of South Carolina and His Company, Open Range Trading LLC, with Commodity Trading Advisor Fraud , 7465-16 |
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CFTC Charges California Residents Joseph Dufresne, Megan Renkow, and Their Company, United Business Servicing, Inc., Doing Business as Schooloftrade.Com, with Fraudulently Marketing Commodity Futures Trading Strategies and Systems , 7464-16 |
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CFTC Charges New Jersey Residents Alcibiades Cifuentes and Jennifer Wee Cifuentes, and Cifuentes Fund Management, LLC, with Fraud and Misappropriation , 7463-16 |
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CFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil Penalty for Acting as an Unregistered Commodity Trading Advisor and for Disclosure Violations , 7462-16 |
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CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in Restitution and a Civil Monetary Penalty for Fraudulent Omissions in Connection with His Operation of ETF Trend Trading , 7461-16 |
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CFTC Charges Options Trader Thomas C. Lindstrom with Fraud , 7460-16 |
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CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 Million in Trading Profits and Pay a $1.75 Million Penalty for His Illegal Futures and Options Trading , 7459-16 |
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CFTC Charges Introducing Broker eFloorTrade, LLC and its Principal John Moore with Recordkeeping and Supervision Failures and Charges Moore for his False and Misleading Statements to the CFTC , 7458-16 |
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CFTC Expands Interest Rate Swap Clearing Requirement , 7457-16 |
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CFTC Orders SG Americas Securities, LLC to Pay a $750,000 Civil Monetary Penalty for its Participation in Wash Transactions and Related Supervision Failures , 7456-16 |
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CFTC Charges Kevin Michael Symons of Foothill Ranch, California and His Company, FTS Financial, Inc., with Fraud and Jerry Austin Simmons of Charlotte, North Carolina with Fraud and Failure to Register with the CFTC , 7455-16 |
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CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7454-16 |
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CFTC Orders Advanced Trading Workshop, Inc. of Jamesville, New York, to Pay a Total of $940,000 in Disgorgement and a Civil Monetary Penalty for Solicitation Fraud and Failure to Register , 7453-16 |
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CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations , 7452-16 |
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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 |
