|
|
Federal Court Orders Illinois CPA Michael Tunney and His Accounting Firm, Tunney & Associates, P.C., to Pay a $100,000 Penalty for Improper Audits of a Commodity Futures Firm , 6916-14 |
|
|
CFTC Staff Issues Time-Limited No-Action Letter on the Applicability of Oral Recording Requirements for Certain Members of Designated Contract Markets or Swap Execution Facilities , 6915-14 |
|
|
CFTC Obtains a Permanent Injunction against Australian Firm Halifax Investment Services, Ltd., Charged with Acting as an Unregistered Retail Foreign Exchange Dealer , 6914-14 |
|
|
CFTC Charges New York Financial Advisor Wayne Pennoyer Weddington III & His Companies, Brunswick Capital & Brunswick Capital Partners, with Solicitation Fraud, Making False Statements & Registration Violations in Connection with Operating a Commodity Pool , 6913-14 |
|
|
CFTC Orders Florida Resident Derek J. Bridges and His Companies, Empire Sterling Metals Corp. and I.P.M. Investments, Inc., to Cease Illegal Fictitious Precious Metals Sales , 6912-14 |
|
|
CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to GTX SEF, LLC , 6911-14 |
|
|
CFTC’s Divisions of Market Oversight and Swap Dealer and Intermediary Oversight Provide Conditional No-Action Relief with Respect to Swaps Trading on Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States , 6910-14 |
|
|
CFTC Orders California, Florida, and Nevada Companies and Their Owners to Pay More than $940,000 in Restitution to Defrauded Customers for Offering Illegal, Off-Exchange Precious Metals Transactions , 6909-14 |
|
|
Capital Market Services, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Violating Minimum Financial Requirement Rules , 6908-14 |
|
|
CFTC Seeks Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts , 6907-14 |
|
|
CFTC Staff Issues an Extension of Time-Limited No-Action Relief to Futures Commission Merchants (FCMs) , 6906-14 |
|
|
CFTC Releases Rule Enforcement Review of OneChicago, LLC , 6905-14 |
|
|
Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered by Federal Court in CFTC Action , 6904-14 |
|
|
Federal Court Orders Two Florida Men and Their Companies to Pay More than $3.3 Million in Restitution and Penalties to Settle Charges Stemming from Role in Illegal, Off-Exchange Precious Metals Transactions , 6903-14 |
|
|
Federal Court Orders Ward Onsa of Marco Island, Florida and His Company, New Century Investment Management LLC of Southampton, Pennsylvania to Pay $5.7 Million Civil Monetary Penalty for Operating a Commodity Pool Ponzi Scheme , 6902-14 |
|
|
OTC Derivatives Regulators Issue Report to the G20 , 6901-14 |
|
|
Federal Court Orders St. Augustine, Florida Couple and Their Company to Pay $5.76 Million for Defrauding Customers in Foreign Currency Scheme , 6900-14 |
|
|
CFTC, OFR Sign Memorandum of Understanding to Improve Data Quality , 6899-14 |
|
|
CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members , 6898-14 |
|
|
CFTC Staff Issues Interpretative Guidance Regarding Auditor Independence , 6897-14 |
|
|
CFTC Staff Issues an Extension of Time-Limited No-Action Relief to LCH and Nodal , 6896-14 |
|
|
CFTC Staff Issues an Extension of Time-Limited No-Action Relief to LCH , 6895-14 |
|
|
CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rules and Regulations Pertaining to Segregated and Secured Amount Funds , 6894-14 |
|
|
U.S. Commodity Futures Trading Commission and Canadian Authorities Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 6893-14 |
|
|
CFTC Charges New York-Based SK Madison Commodities, LLC and its principals, Michael James Seward and Yan Kaziyev, with Commodity Pool Fraud and Other Violations , 6892-14 |
|
|
Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool Scheme , 6891-14 |
|
|
CFTC Seeks Public Comment on ICE Swap Trade, LLC’s Self-Certification of Package Trade Rule , 6890-14 |
|
|
CFTC Orders Morgan Stanley Capital Group Inc. to Pay $200,000 Penalty for Violating Soybean Meal Futures Speculative Position Limits , 6889-14 |
|
|
CFTC Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the De Minimis Threshold for Swaps with Utility Special Entities , 6888-14 |
|
|
An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole and Global Strategic Marketing, Inc. to Pay over $2.2 Million in Sanctions in Connection with Foreign Currency Ponzi Scheme , 6887-14 |
|
|
CFTC’s Division of Market Oversight Provides Extension of Temporary No-Action Relief with respect to Swaps Trading on Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States , 6886-14 |
|
|
CFTC Charges Dallas-based Steven Lyn Scott with Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 6885-14 |
|
|
CFTC Charges Florida-Based Gold Distributors Inc. and Its Owner, Jordan Cain, with Engaging in Illegal, Off-exchange Commodity Transactions , 6884-14 |
|
|
CFTC Charges Ohioan Bradley A. Miklovich with Unauthorized Trading , 6883-14 |
|
|
CFTC Requests Public Comment on Swap Data Reporting Rules , 6882-14 |
|
|
CFTC Charges South Carolina Residents Robert S. and Amy L. Leben with Commodity Pool Fraud for the Operation of a Multi-Million Dollar Ponzi Scheme , 6881-14 |
|
|
CFTC Orders Sean R. Stropp to Pay $250,000 Penalty to Settle Charges of Making False and Misleading Statements During a CFTC Investigation , 6880-14 |
