|
|
CFTC Orders Florida Firms, Joseph Glenn Commodities LLC and JGCF LLC, and Owners Scott Newcom and Anthony Pulieri to Pay over $1 Million in Restitution and Penalties for Fraudulent Off-Exchange Transactions in Precious Metals with Retail Customers , 6542-13 |
|
|
CFTC Announces Procedures for Submission of Risk Exposure Reports and Chief Compliance Officer Annual Reports by Swap Dealers and Major Swap Participants , 6541-13 |
|
|
CFTC Issues Amended Registration Order for Natural Gas Exchange Inc. , 6540-13 |
|
|
Federal Court Orders Oregon-based System Capital, LLC and its President Joshua Wallace to Pay $840,000 for Solicitation Fraud and Making False Statements to the National Futures Association , 6539-13 |
|
|
CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Partial Novation and Partial Termination of Certain Swaps , 6538-13 |
|
|
Federal Court Imposes More than $57 Million in Sanctions against Two Mexican Companies, MXBK Group S.A. de C.V. and MBFX S.A., for Defrauding their U.S. Foreign Currency (Forex) Customers , 6537-13 |
|
|
CFTC’s Division of Clearing and Risk Issues Limited No-Action Relief from Required Clearing for Swaps Resulting from Multilateral Compression Exercises , 6536-13 |
|
|
CFTC’s Division of Market Oversight and Office of Data and Technology Issue Advisory Reminding All Swap Counterparties of April 10 Deadline to Obtain a CICI Identifier , 6535-13 |
|
|
Federal Court Orders Colorado Man Nicholas Trimble and His Two Companies, Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC, to Pay More than $3.5 Million in Foreign Currency Fraud Action , 6534-13 |
|
|
CFTC Revokes Registration of Growth Capital Management LLC , 6533-13 |
|
|
CFTC Sues Michael Alcocer and His Company, InovaTrade, Inc., for Foreign Currency Fraud and Misappropriation , 6532-13 |
|
|
CFTC Certifies Futures Contracts on the MICEX Index, the Hang Seng Index, the FTSE/JSE Top 40 Index, and the BSE Sensitive Index Submitted by the Bolsa de Valores, Mercadorias e Futuros (BVMF-Brazil) , 6531-13 |
|
|
Federal Court in New York Orders Madison Dean, Inc. and Its Principal, George Athanasatos, to Pay over $1.4 Million to Settle Forex Fraud Charges in CFTC Enforcement Action , 6530-13 |
|
|
CFTC Announces that Mandatory Clearing Begins Today , 6529-13 |
|
|
CFTC Announces Departure of General Counsel Dan M. Berkovitz , 6528-13 |
|
|
CFTC’s Division of Market Oversight Issues Advisory Reminding Market Participants of Certain Swap Data Reporting Requirements , 6527-13 |
|
|
CFTC Provides Operational Guidance Concerning Maintenance of CICIs Issued Through Assisted Registration , 6526-13 |
|
|
CFTC Approves Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook , 6525-13 |
|
|
CFTC Settles Charges against Ronnie Gene Wilson of South Carolina and His Company, Atlantic Bullion and Coin, for Operating a Multi-Million Dollar Silver Bullion Ponzi Scheme , 6524-13 |
|
|
Federal District Court in New York Enters Order of Permanent Injunction against Defendants Agape World, Inc. and Agape Merchant Advance LLC, Charged with Defrauding Customers in Commodity Futures Trading Scheme , 6523-13 |
|
|
Federal Court in Florida Enters Preliminary Injunction Order against Hunter Wise Commodities, LLC, Lloyds Commodities, LLC, and 18 Other Defendants in Connection with Operating a Multi-Million Dollar Fraudulent Precious Metals Scheme , 6522-13 |
|
|
CFTC’s Division of Clearing and Risk Announces Revised Compliance Schedule for Required Clearing of iTraxx CDS Indices , 6521-13 |
|
|
Federal Court in Massachusetts Imposes $600,000 Penalty on Jeffrey Liskov and His Company, EagleEye Asset Management, for Committing a $3 Million Forex Fraud , 6520-13 |
|
|
CFTC Charges CME Group’s New York Mercantile Exchange and Two Former Employees with Disclosing Material Nonpublic Information about Customer Trades , 6519-13 |
|
|
CFTC Staff and IOSCO Board Level Task Force to Host Public Roundtable to Discuss IOSCO Consultation Report on Financial Benchmarks , 6518-13 |
|
|
CFTC Orders Enskilda Futures Limited to Pay a $125,000 Civil Monetary Penalty for Failing to Meet Minimum Capital Requirements Due to Margin Errors , 6517-13 |
|
|
Federal Court in Nebraska Orders Omaha Resident Michael J. Welke to Pay $387,000 to Settle Commodity Pool Fraud Charges , 6516-13 |
|
|
Federal Court in Texas Orders Jonathan Hansen and His Company, J. Hansen Investments, LLC, to Pay over $1.3 Million to Settle Commodity Pool Fraud Action , 6515-13 |
|
|
CFTC Approves Amendment to Cantor Clearinghouse, L.P., Registration Order , 6514-13 |
|
|
CFTC Charges South Carolina Resident Robert Stanley Harrison with Commodity Pool Fraud , 6513-13 |
|
|
CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges , 6512-13 |
|
|
Federal Court in Texas Orders Rodney Wagner and Roger Wagner, and their company GID Group, Inc., to Pay Over $2.4 Million for Fraud in Foreign Currency (Forex) Ponzi Scheme , 6511-13 |
|
|
CFTC Orders The Royal Bank of Scotland plc and RBS Securities Japan Limited to Pay $325 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation, and False Reporting of Yen and Swiss Franc LIBOR , 6510-13 |
|
|
CFTC Seeks Public Comment on the Request of trueEX LLC for an Amended DCM Order to Allow Intermediated Trading on its Platform , 6509-13 |
|
|
CFTC Sues Australian Company, Halifax Investment Services, Ltd., for Unlawfully Soliciting U.S. Customers , 6508-13 |
|
|
Federal Court in Florida Imposes over $22.8 Million in a Monetary Sanction and Restitution against Floridian David Merrick and His Company, Trader’s International Return Network , 6507-13 |
|
|
Federal Court Imposes over $2.8 Million in Sanctions against Florida Resident Martin H. Bedick and His Company, Angus Jackson, Inc., for Making False Statements , 6506-13 |
