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...Washington, D.C. — The Commodity Futures Trading Commission today announced that it has filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Robert Jeffrey Johnson, Kathleen Hook, Ross Baldwin, Precious Commodities, Inc. (PCI), National Coin Broker, Inc. (NCB), and NCB Wholesale Co. (NCBWC), all of Florida, charging them with fraud in…
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...Washington, D.C. — The Commodity Futures Trading Commission today announced it filed a complaint in the U.S. District Court for the Northern District of Illinois against Chicago-based Tyche Asset Management, LLC, a registered commodity pool operator, Phillip Galles, its principal and registered associated person, as well as eight other Tyche entities Galles controlled. The complaint charges…
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...Washington, D.C. — The Commodity Futures Trading Commission announced today that it has filed a civil enforcement action in the U.S. District Court for the District of New Jersey against WorldWideMarkets, Ltd., TAB Networks, Inc., Thomas Plaut of Saddle River, N.J., and Arthur Dembro of New York, N.Y., charging them with fraud and other violations.
The complaint alleges that the two…
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Fraud Advisory: Phony Futures and Options Websites
Beware of websites claiming to be the U.S. Federal regulator of futures and options trading, or to be a Federally-regulated entity.
The CFTC has seen an increase in the number of Internet…
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...Washington, D.C. — The Commodity Futures Trading Commission announced today that it has filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Coquest Inc., a registered introducing broker (IB), and its owners Dennis Weinmann and John Vassallo, and their trading firms Buttonwood LLC and Weva Properties Ltd., all of Dallas, Texas.
The…
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… participants through corruption (kickbacks and bribes) and misappropriation of material non-public information. This …
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...The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the…
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… February 14, 2020, charging the defendants with fraud and misappropriation related to an off-exchange foreign currency … all of their funds as a result of the defendants’ fraud and misappropriation. Related Criminal Action In a related …
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...The Commodity Futures Trading Commission (CFTC) today filed a complaint against Avraham Eisenberg (Defendant), in the U.S. District Court for the Southern District of New York. The CFTC alleges that Eisenberg devised and carried out a scheme to manipulate the price of a thinly-traded digital asset—the Mango token (MNGO)—in order to benefit swaps positions he opened on Mango Markets, a…
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...Washington, D.C. — The Commodity Futures Trading Commission today announced that the U.S. District Court for the District of Colorado entered a judgment against defendants Venture Capital Investments LLC (VCI) and its principal and manager Breonna Clark d/b/a Eliot Clark d/b/a Alexander Pak (Clark), both of Denver, Colorado, for fraudulently soliciting and misappropriating funds from…
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