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Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes , 6615-13 |
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CFTC Orders ABN AMRO Clearing Chicago LLC to Pay $1 Million to Settle Charges of Segregated and Secured Fund Deficiencies, a Minimum Net Capital Violation, Books and Records Violation, and Supervision Failures , 6614-13 |
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Federal Court in Puerto Rico Orders Angel F. Collazo, ACJ Capital, Inc., and Solid View Capital LLC to Pay over $1.5 Million to Settle Forex Fraud Charges in CFTC Enforcement Action , 6613-13 |
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CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief to Provide for Transition to SEF Registration , 6612-13 |
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CFTC Certifies Futures Contracts on the MSCI World Index, MISCI Europe Index, MSCI Japan Index, and the MSCI All Countries Asia Pacific ex-Japan Index Submitted by Eurex Deutschland , 6611-13 |
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CFTC Charges North Carolina Resident James A. Shepherd and James A. Shepherd, Inc. with Commodity Pool Fraud , 6610-13 |
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CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator , 6609-13 |
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CFTC Provides For Mutual Acceptance of Approved Legal Entity Identifiers , 6608-13 |
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CFTC Announces that Mandatory Clearing for Category 2 Entities Begins Today , 6607-13 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief to Banks Having Assets of Less Than $10 Billion from the Board Approval Requirement of the CEA and the End-User Exception to the Clearing Requirement , 6606-13 |
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CFTC’s Division of Clearing and Risk Issues No-Action Letter for Corporación Andina de Fomento , 6605-13 |
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CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6604-13 |
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CFTC’s Division of Clearing and Risk Issues an Advisory Pertaining to the Effective Date of the Clearing Exemption for Swaps Between Certain Affiliated Entities , 6603-13 |
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CFTC Charges “Prediction Market” Proprietor Banc de Binary with Violating the CFTC’s Off-Exchange Options Trading Ban and Operating as an Unregistered Futures Commission Merchant , 6602-13 |
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CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws , 6601-13 |
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CFTC Files Amended Complaint Which Adds Charge That Defendants Arista LLC, Abdul Sultan Walji and Reniero Francisco of California Made False Statements to the CFTC , 6600-13 |
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Federal Court Orders Utah Residents Christopher D. Hales, Eric A. Richardson and their Company Bentley Equities, LLC to Pay More Than $2.7 Million in Sanctions for Fraud , 6599-13 |
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CFTC’s Division of Clearing and Risk Provides No-Action Relief from the Clearing Requirement for Swaps Entered into by Eligible Treasury Affiliates , 6598-13 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time for Compliance with Certain Pre-Trade Screening Requirements of the Commission’s Rule Regarding Bunched Orders for Futures , 6597-13 |
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Federal Court Orders Melissa C. Rushton to Pay $50,000 to Settle Charges Pertaining to Her Husband’s Fraudulent Operation of Summit Trading & Capital LLC , 6596-13 |
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Federal Court in New York Imposes a $1 Million Fine and other Sanctions against Kevin Cassidy, Former CEO of Optionable Inc. , 6595-13 |
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CFTC Orders FCStone LLC to Pay a $1.5 Million Civil Monetary Penalty for Failing to Have Risk Controls, in Violation of Supervision Obligations , 6594-13 |
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Following a Bench Trial, Federal Court in Florida Orders Defendants William and Gregory Center to Pay Millions in Restitution and Civil Monetary Penalties for Operating a $28.4 Million Ponzi Scheme , 6593-13 |
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CFTC’s Division of Market Oversight Issues Advisory Regarding the Obligation to Report Omnibus Account Information in a Timely Manner , 6592-13 |
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CFTC Revokes Registrations of Georgia Resident Robert A. Christy and his company, Crabapple Capital Group LLC , 6591-13 |
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Federal Court in Florida Orders Defendants Philip Milton and Trade, LLC, and Four Relief Defendants to Pay Millions in Restitution, Disgorgement, and Civil Monetary Penalties for Operating a $28.4 Million Ponzi Scheme , 6590-13 |
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Federal Court Orders Spencer Montgomery, Brian Reynolds, Arjent Capital Markets LLC, and Chicago Trading Managers LLC to Pay More than $1.8 Million for Commodity Pool Fraud , 6589-13 |
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CFTC Orders MB Trading Futures Inc., a Registered Retail Foreign Exchange Dealer, to Pay $200,000 Penalty to Settle Charges of Violating Minimal Financial Requirement Rules , 6588-13 |
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CFTC Charges Global Precious Metals Trading Company and Michael Ghaemi of Coral Gables, Florida with Fraudulent Precious Metals Scheme , 6587-13 |
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Federal Court Orders Ohioans Kevin and Keelan Harris, Canada-based Karen Starr, and their Companies, Complete Developments, LLC and Investment International Inc., to Pay over $23 Million for Fraud in Foreign Currency Ponzi Scheme , 6586-13 |
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CFTC to Hold Open Meeting to Consider Trade Execution Rules; Anti-Disruptive Trading Practices Guidance , 6585-13 |
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CFTC’s Division of Market Oversight Issues Advisory Providing Guidance to Reporting Markets on How to Submit Block Trade Volume Data , 6583-13 |
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CFTC Charges Ron Eibschutz with Aiding and Abetting Disclosures of Material Nonpublic Information about Customer Trades in its Case against the CME Group’s New York Mercantile Exchange and Two Former Employees , 6584-13 |
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CFTC’s Division of Market Oversight Issues Advisory Reminding Market Participants of Certain Call Cotton Reporting Requirements and a No-Action Position Allowing for E-mail Submission of Form 304 Reports , 6582-13 |
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CFTC Charges Bostonian David Prescott with Forex Pool Fraud , 6581-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter Providing Relief Surrounding Certain Foreign Exchange Transactions with a Settlement Cycle of No More than Seven Local Business Days , 6580-13 |
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CFTC Issues Order of Registration for the Natural Gas Exchange Inc. , 6579-13 |
