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Federal Court Orders Cindy and Paul Vandivier to Pay Civil Monetary Penalties and Restitution of Almost $3 Million to Settle CFTC Charges of Operating an Illegal, Off-Exchange Precious Metals Scheme , 7323-16 |
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CFTC Issues an Exemption to the Korea Exchange Permitting Designated Korea Exchange Members to Deal Directly with U.S. Customers , 7322-16 |
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Federal Court Orders New York Firm 4X Solutions, Inc. and Its Principal, Whileon Chay, to Pay More than $10 Million in Disgorgement and a Civil Monetary Penalty for Forex Fraud Ponzi Scheme , 7321-16 |
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CFTC Charges Dania Beach, Florida Resident Rico Omar Cox with Commodity Trading Advisor Fraud , 7320-16 |
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Injunction against Robert Tripode for Engaging in Fraud in Connection with Forex , 7319-16 |
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Federal Court Orders Florida-Based Worth Group Inc. and Its Principals, Andrew Wilshire and Eugenia Mildner, to Pay $2.5 Million in Sanctions for Illegal Off-Exchange Precious Metals Scheme , 7318-16 |
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CFTC Charges Florida-Based Oakmont Financial, Inc. and Joseph Charles DiCrisci with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7317-16 |
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CFTC Grants Eurex Clearing AG Registration as a Derivatives Clearing Organization , 7316-16 |
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CFTC Signs MOU with Two German Authorities to Enhance Supervision of Cross-Border Clearing Organizations , 7315-16 |
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CFTC Cancels TAC Meeting Scheduled for January 26, 2016 , 7314-16 |
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CFTC Grants Registration to 18 Swap Execution Facilities , 7313-16 |
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CFTC Launches Whistleblower Program’s Website , 7312-16 |
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CFTC Charges Oklahoma Resident Kevin J. Davis with Acting as an Unregistered Commodity Pool Operator and Engaging in Prohibited Pool Operator Activities , 7311-16 |
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CFTC’s Division of Market Oversight Extends Conditional, Time-Limited No-Action Relief Regarding Masking Certain Reportable Identifying Information , 7310-16 |
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CFTC Issues Order Delegating to the National Futures Association Certain Functions Related to Notices of Swap Valuation Disputes Filed by Swap Dealers and Major Swap Participants , 7309-16 |
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CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation , 7308-16 |
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CFTC’s Technology Advisory Committee to Meet on January 26, 2016 , 7307-16 |
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Federal Court in Illinois Orders Approximately $500 Million in Sanctions against Defendant Nikolai S. Battoo and His Three Companies for Committing a Global Commodity Futures and Options Fraud , 7306-16 |
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CFTC’s Division of Clearing and Risk Provides No-Action Relief to Small Bank Holding Companies and Community Development Financial Institutions , 7305-16 |
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CFTC Charges Irvine, California Resident Ghassan Tawachi and His Company, Intelligent Trades, LLC, with Defrauding Customers in Connection with a Commodity Futures Trading System , 7304-16 |
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CFTC’s Division of Market Oversight Grants FTSEF LLC Temporary Registration as a Swap Execution Facility , 7303-16 |
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CFTC Approves a Proposed Rule Providing an Alternative to Fingerprinting for Foreign Natural Persons , 7302-16 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to OTC Clearing Hong Kong Limited , 7301-15 |
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CFTC and Hong Kong Securities and Futures Commission Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7300-15 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief from Certain Audit Trail Requirements in CFTC Regulations Related to Post-trade Allocation , 7299-15 |
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CFTC Staff Issues Request for Comment on Draft Technical Specifications for Certain Swap Data Elements , 7298-15 |
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest , 7297-15 |
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CFTC Approves Final Rule on Records of Commodity Interest and Related Cash or Forward Transactions , 7296-15 |
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CFTC Staff Issues Advisory Reminding Swap Dealers and Major Swap Participants of their Reporting Obligations as Required by Commission Regulations , 7295-15 |
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CFTC Approves Final Rule on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants , 7294-15 |
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CFTC Unanimously Approves Proposed Enhanced Rules on Cybersecurity for Derivatives Clearing Organizations, Trading Platforms, and Swap Data Repositories , 7293-15 |
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Federal Court Orders California Resident Thomas Gillons to Pay More than $1.9 Million in Restitution and Penalties for Fraud and Misappropriation , 7292-15 |
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CFTC to Hold an Open Commission Meeting on December 16th to Consider Final and Proposed Rules , 7291-15 |
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CFTC Divisions Issue Extension of Time-Limited No-Action Relief from Certain Recordkeeping Requirements under Commission Regulations , 7290-15 |
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CFTC Files and Settles Charges against Total Gas & Power North America, Inc. and Therese Tran for Attempted Manipulation of Natural Gas Monthly Index Settlement Prices , 7289-15 |
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CFTC Imposes a Monetary Penalty and Permanently Bars California Resident Garen Ovsepyan and Forex Trading Advisors Sharpe Signa, LLC and Haeres Capital, LLC from the Commodities Industry , 7288-15 |
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CFTC Charges California Resident David Bryant with Fraud and Acting as an Unregistered Commodity Pool Operator , 7287-15 |
