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California Federal Court Permanently Bans Glenn Kane Jackson and Highlands Capital Management from Trading and Registration in Action by CFTC Charging Commodity Pool Fraud , 7027-14 |
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Federal Court Orders Eric Moncada to Pay $1.56 Million Penalty for Attempting to Manipulate the Wheat Futures Market , 7026-14 |
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CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors LLC , 7025-14 |
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CFTC Staff Announced Extension of No-Action Relief Concerning Certain Straight Through Processing Obligations for SEFs and DCMs from Compliance with Certain Requirements of Commission Regulations for Package Transactions , 7024-14 |
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CFTC Charges Florida Company International Monetary Metals, Inc. and Florida Resident Martin Sommers with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7023-14 |
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CFTC Orders Utah Resident Scott A. Beatty and his Company, Peak Capital Management Group, Inc., to Pay over $1.6 Million for Forex Fraud and Making False Statements to the CFTC During an Investigation , 7022-14 |
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U.S. Commodity Futures Trading Commission and Australian Securities and Investments Commission Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7021-14 |
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CFTC Files Complaint Charging Daniel Shak of Las Vegas with Violating a CFTC Order Settling Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 7020-14 |
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CFTC Orders Fan Zhang to Pay $250,000 for Engaging in Fictitious Sales and Noncompetitive, Prearranged Trades on CME and CBOT , 7019-14 |
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CFTC Charges Illinois Resident Gerald J. Considine and His Companies, Novo Trading and Considine Trading, with Fraudulent Solicitation and Misappropriating More than $1.65 Million of Customer Funds , 7018-14 |
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CFTC Charges Florida-Based Inter-Global Currency & Precious Metals LLC and Stavros Papastavrou with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7017-14 |
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CFTC Staff Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process , 7016-14 |
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Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Risk Exposure Reports to the Commission through WinJammer , 7015-14 |
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CFTC Charges Delaware Depository Services Company with Confirming the Execution of Off-Exchange Precious Metals Transactions , 7014-14 |
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CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT , 7013-14 |
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CFTC Orders Florida Resident Louis J. Ferone to Pay Restitution and a Civil Monetary Penalty Totaling More than $155,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7012-14 |
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CFTC Charges Gregory Christopher Evans with Unauthorized Trading and Concealing Trading Losses , 7011-14 |
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CFTC’s Global Markets Advisory Committee to Meet October 9, 2014 , 7010-14 |
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FXDirectDealer, LLC Ordered to Pay $600,000 Civil Monetary Penalty and to Comply with Three-Year Registration Ban as FCM or RFED for Violating Minimum Financial Requirements and a Prior CFTC Order , 7009-14 |
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CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher to Pay $525,000 Penalty for Violating Speculative Position Limits in Live Cattle Futures , 7008-14 |
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CFTC Orders Georgia Resident Todd Young and His Company, Young Scott & Associates, to Cease Illegal Fictitious Precious Metals Sales , 7007-14 |
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CFTC Charges Ohio Resident John R. Bullar and his Company, Executive Management Advisors L.L.C., with Fraud and Embezzlement in Operating an $8.3 Million Commodity Pool and Ponzi Scheme , 7006-14 |
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CFTC Staff Provides Time-Limited No-Action Relief for Swap Execution Facilities from Certain Block Trade Requirements , 7005-14 |
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CFTC Approves Final Rule and Proposed Rule at its Open Meeting Today , 7004-14 |
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CFTC Orders Florida Resident Sean F. McCabe and His Company WorldPMX, Inc. to Pay Restitution and a Civil Monetary Penalty of More than $1.1 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7003-14 |
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CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action , 7002-14 |
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CFTC Charges Ohio Resident Glen Galemmo with Commodity Pool Fraud in a Multi-Million Dollar Ponzi Scheme , 7001-14 |
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Federal Court Orders Brian Hunter of Calgary, Alberta to Pay a $750,000 Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas Futures Prices during the Expiry on Two Trading Days , 7000-14 |
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CFTC Staff Sets Forth Enabling Process for No-Action Relief with respect to Swaps Trading on Certain Financial Markets that are Licensed in Australia and Overseen by the Australian Securities & Investments Commission , 6999-14 |
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CFTC Fines Morgan Stanley Smith Barney for Supervision and Records Failures Relating to Its “Know Its Customer” Procedures , 6998-14 |
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OTC Derivatives Regulators Issue Report to the G20 , 6997-14 |
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CFTC Announces Sponsors for Advisory Committees , 6996-14 |
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CFTC Staff Issues Exemptive Letter Providing Relief from Certain Agency Regulations to be Consistent with JOBS Act SEC Amendments , 6995-14 |
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CFTC to Hold an Open Meeting to Consider a Proposed Rule on Margin Requirements and a Final Rule on Utility Special Entities , 6994-14 |
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CFTC Staff Issues Exemptive Letter to Certain Registered Commodity Pool Operators Regarding Filing Form CPO-PQR , 6993-14 |
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CFTC Orders Zulutrade Inc. to Pay $150,000 Penalty and Disgorge Profits of $80,000 to Settle Charges of Failure to Supervise Activities Relating to Its Business as a CFTC Registrant , 6992-14 |
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CFTC Staff Issues Exemptive Letter to Commodity Pool Operators Expanding the List of Permissible Third-Party Recordkeepers , 6991-14 |
