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CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty and Restitution and Bans Him from Trading and Registration for Engaging in Gas and Crude Oil Futures Transactions that Defrauded His Employer , 7286-15 |
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Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry , 7285-15 |
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CFTC Divisions Provide Conditional No-Action Relief to Wells Fargo Bank, N.A. , 7284-15 |
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CFTC Unanimously Approves Proposed Rule on Automated Trading , 7283-15 |
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CFTC to Discontinue Collecting and Issuing Reports on Index Investment Data , 7282-15 |
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Sentry Asset Group, LLC dba Sentry Asset Management, LLC, and John Pakel for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7281-15 |
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CFTC Staff Releases Swap Dealer De Minimis Exception Preliminary Report , 7280-15 |
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CFTC to Hold an Open Commission Meeting on November 24th to Consider a Proposal on Automated Trading , 7279-15 |
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CFTC Divisions Provide Time-Limited No-Action Relief for Certain Affiliated Counterparties , 7278-15 |
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CFTC Charges IB Capital FX, LLC, Michel Geurkink, and Emad Echadi with Soliciting at Least $50 Million from Members of the Public for Forex Trading, without Being Registered with the CFTC , 7277-15 |
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CFTC Staff Issues Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland , 7276-15 |
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OTC Derivatives Regulators Deliver Report to the G20 Leaders , 7275-15 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2015 , 7274-15 |
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CFTC Staff Publishes Responses to Frequently Asked Questions Regarding Commission Forms CPO-PQR and CTA-PR , 7273-15 |
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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 , 7272-15 |
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CFTC’s Market Risk Advisory Committee Announces Agenda for Upcoming Public Meeting , 7271-15 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to Korea Exchange, Inc. , 7270-15 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to Japan Securities Clearing Corporation , 7269-15 |
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CFTC Charges Colorado Resident Gregory L. Gramalegui, Doing Business as Emini Trading School, with Fraud and Other Violations Involving a Futures Trading System and Advisory Service , 7268-15 |
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Alan James Watson, Cash Flow Financial LLC, and Michael S. Potts Ordered to Pay More than $91.9 Million in Final Disposition of Commodity Pool Ponzi Scheme Case , 7267-15 |
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Federal Court in Ohio Orders over $31 Million in Restitution and Civil Monetary Penalties against John R. Bullar and His Company, Executive Management Advisors L.L.C., for Commodity Pool Operator and Commodity Trading Advisor Fraud and Ponzi Scheme , 7266-15 |
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CFTC Orders BNP Paribas Securities Corp. to Pay a $140,000 Penalty to Settle Charges of Improper Investment of Customer Segregated Funds , 7265-15 |
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CFTC Charges Chicago Trader Igor B. Oystacher & His Proprietary Trading Company, 3 Red Trading LLC, with Spoofing and Employment of a Manipulative and Deceptive Device while Trading E-Mini S&P 500, Copper, Crude Oil, Natural Gas, and VIX Futures Contracts , 7264-15 |
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CFTC’s Market Risk Advisory Committee to Meet on November 2, 2015 , 7263-15 |
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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 , 7262-15 |
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Federal Court in Ohio Orders Bradley A. Miklovich, a Former Associated Person of Rice Investment Company, to Make Full Restitution for Unauthorized Trading , 7261-15 |
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CFTC Further Implements Trade Execution Requirement , 7260-15 |
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Federal Court Orders Alexander Glytenko and His Company, Direct Investment Products, Inc., to Pay a Monetary Penalty and Restitution Totaling More than $3.8 Million in Connection with Commodity Pool Fraud , 7259-15 |
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CFTC Orders Minneapolis-based Alfred C. Toepfer International, Inc. to Pay $400,000 for Inaccurately Reporting Positions in Multiple Grains , 7258-15 |
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CFTC Charges Florida-Based Guardian Asset Group, LLC and Andrew Kurzbard with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7257-15 |
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CFTC Staff Extends Time-Limited No-Action Relief to Eurex Clearing and its U.S. Clearing Members , 7256-15 |
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CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures , 7255-15 |
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CFTC to Issue Whistleblower Award of Approximately $290,000 , 7254-15 |
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CFTC Orders Florida Resident Barbara Cohen and Her Company, Pure Reason, LLC, to Pay a $140,000 Penalty for Cohen’s False Statements to the CFTC and for Not Disclosing that Profitable Trading Results Were Based on Hypothetical Trading , 7253-15 |
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CFTC Orders Florida Resident Alan M. Kneller and His Company American Portfolio Asset Management, Inc. to Pay Restitution and a Civil Monetary Penalty Totaling More than $578,000 in Precious Metals Enforcement Action , 7252-15 |
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CFTC Order Imposes a Monetary Penalty and Permanent Trading and Registration Bans against Daniel Bowman for Violating Speculative Position Limits in Live Cattle Futures , 7251-15 |
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CFTC Charges Florida Resident Todd Owen Marshall and His Companies Harvard Assets LLC, London Assets Inc., and Harvard International Trading, Inc. with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations , 7250-15 |
