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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 |
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Federal Court Orders Israeli Web-based Firms, Vault Options, Ltd. and Global Trader 365, to Pay More than $4.5 Million for Unlawful Off-Exchange Binary Options Trading, Fraud, and Registration Violations , 7414-16 |
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CFTC and Four Canadian Authorities Sign Counterparts to Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7413-16 |
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CFTC Proposes to Amend the Conditions for Exemption from Registration for Certain Foreign Persons , 7412-16 |
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CFTC Announces Fourth Whistleblower Award , 7411-16 |
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CFTC Staff Issues Advisory Clarifying Chief Compliance Officer Reporting Line Requirements , 7410-16 |
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CFTC Staff Issues Guidance to Clearinghouses on Recovery Plans and Wind-Down Plans , 7409-16 |
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CFTC Extends Designation of DTCC-SWIFT as LEI Provider , 7408-16 |
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CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in Total $7.2 Million in Restitution and a Civil Monetary Penalty for Solicitation Fraud and for Making False Statements to the National Futures Association , 7407-16 |
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CFTC Staff Approves a Public Comment Extension for a Rule Amendment Certification Filing by ICE Futures U.S. , 7406-16 |
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CFTC Orders Singapore-Based Agrocorp International Pte Ltd. to Pay $150,000 for Call Cotton Reporting Violations , 7405-16 |
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CFTC Orders Golden Agri International Pte Ltd. to Pay $150,000 for Failing to Report Cash Positions , 7404-16 |
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Federal Court in Illinois Orders Matthew J. Marcus and His California Company Tech Power Inc. to Pay a $250,000 Penalty for Engineering a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades , 7403-16 |
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CFTC Staff Issues Advisory Reminding Commission Registrants of Compliance Requirements Regarding Suspicious Activity Reporting and Economic Sanctions Programs , 7402-16 |
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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7401-16 |
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Federal Court Orders Nearly $17.5 Million in Sanctions against Naples, Florida Resident Dorian Garcia and his Companies for Solicitation Fraud, Misappropriation, and Registration Violations in Operating a Ponzi Scheme , 7400-16 |
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CFTC Releases Rule Enforcement Review of the CBOE Futures Exchange, LLC , 7399-16 |
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CFTC Charges Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Entities with Fraud, Misappropriation, Failing to Register with the CFTC, and Making Misrepresentations to the NFA , 7398-16 |
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CFTC Grants Registration to Clear Markets North America, Inc. , 7397-16 |
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CFTC Requests Public Comment on Swap Clearing Requirement Submissions , 7396-16 |
