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CFTC’s Division of Market Oversight Extends Conditional Time-Limited No-Action Relief to Australian-Based Trading Platform Yieldbroker Pty Limited , 7120-15 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Electronic Reporting Requirements in the OCR Final Rule , 7119-15 |
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CFTC Orders Florida Residents Isaiah Goldman and Brock Catronio and their Companies, Paramount Metals Exchange and Paramount Credit, to Pay More than $2.5 Million in Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7118-15 |
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CFTC Orders Florida-Based Midwest Metals Exchange and Its Owner, Brian S. Ekasala, to Pay Restitution and a Civil Monetary Penalty Totaling More than $522,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7117-15 |
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Federal Court Orders U.S. Bank National Association to Pay $18 Million to Peregrine Customers , 7116-15 |
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CFTC Extends Period for Public Comment on Related Applications Submitted by LedgerX, LLC for Registration as a Derivatives Clearing Organization and Swap Execution Facility , 7115-15 |
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CFTC Charges California Residents Christopher Valois and Cynthia Wong and Their Companies with Fraud and Registration Violations , 7114-15 |
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CFTC Announces Membership of the Energy and Environmental Markets Advisory Committee , 7113-15 |
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CFTC Orders Florida Resident Anthony Lauria and His Company Gold Coast Bullion, Inc. to Pay More than $9.6 Million in Restitution and a Civil Monetary Penalty in Off-Exchange Precious Metals Fraud , 7112-15 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief to Introducing Brokers for Certain Financial Reporting Requirements , 7111-15 |
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Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Chief Compliance Officer Annual Reports to the Commission through WinJammer , 7110-15 |
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CFTC Issues Order of Registration for Bursa Malaysia Derivatives Berhad , 7109-15 |
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CFTC Issues Order of Registration for the Singapore Exchange Derivatives Trading Limited , 7108-15 |
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Federal Court in New York Imposes a $2.16 Million Penalty and Permanent Trading Bans against Michael A. Kardonick, Gary R. Shapoff, and Atwood & James for Forex Options Fraud and Misappropriation , 7107-15 |
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Federal Court Orders California-Based Defendants Bharat Adatia, Lions Wealth Holdings, Lions Wealth Services, and 20/20 Precious Metals to Pay over $5.3 Million in Monetary Sanctions for Multi-Million Dollar Fraudulent Precious Metals Scheme , 7106-15 |
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CFTC Issues Order of Registration for the Tokyo Commodity Exchange, Inc. , 7105-15 |
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CFTC Imposes $3 Million Penalty against Olam International, Ltd. and Olam Americas, Inc. for Violating Cocoa Position Limits and Unlawfully Executing Noncompetitive Trades , 7104-15 |
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CFTC Orders Summit Energy Services, Inc. to Pay $140,000 Civil Monetary Penalty and Cease and Desist from Acting as an Unregistered Commodity Trading Advisor , 7103-15 |
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CFTC Obtains Judgment against Commodity Pool Operators TOTE Fund LLC and MJS Capital Management LLC, and their Principal, Michael J. Siegel, for Commodity Pool Fraud and Other Violations , 7102-15 |
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CFTC’s Division of Market Oversight Issues Time-Limited Extension of No-Action Relief Regarding Masking of Certain Identifying Information Required to be Reported , 7101-15 |
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Federal Court in Florida Enters Order Freezing Assets in CFTC Foreign Currency Anti-Fraud Action against Allied Markets LLC and its Principals Joshua Gilliland and Chawalit Wongkhiao , 7100-15 |
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CFTC Staff Issues No-Action Relief to a Swap Dealer from Certain Chief Compliance Officer Reporting Line Requirements under Commission Regulations , 7099-15 |
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CFTC Provides Notice and Clarification of the Reopened Comment Period for its Rulemaking Proposals on Position Limits for Physical Commodity Derivatives and Aggregation , 7098-15 |
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Federal Court Orders North Carolina Resident Edwin A. Vasquez and His Company, Vasquez Global Investments, LLC, to Pay over $1.3 Million for Commodity Pool Fraud , 7097-14 |
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CFTC Staff Issues Extension of Time-Limited No-Action Relief for Futures Commission Merchants from Requirement to Obtain an Acknowledgement Letter from Certain Depositories , 7096-14 |
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Federal Court in New York Orders MF Global Holdings Ltd. to Pay $1.212 Billion in Restitution for Unlawful Use of Customer Funds and Imposes a $100 Million Penalty , 7095-14 |
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CFTC Staff Extends Time-Limited No-Action Relief to Eurex Clearing and its U.S. Clearing Members , 7094-14 |
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South Carolina Federal Court Enters Judgment against Robert Stanley Harrison for Commodity Pool Fraud , 7093-14 |
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CFTC Staff Extends Time-Limited No-Action Relief to Japan Securities Clearing Corporation and Its Qualifying Clearing Participants and Affiliates , 7092-14 |
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Federal Court in Texas Orders Dallas-based Steven Lyn Scott to Pay $766,625.30 in Restitution and a $700,000 Penalty to Settle Charges of Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme , 7091-14 |
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CFTC Staff Issues Advisory and Time-Limited No-Action Position Regarding the CCO Annual Report , 7090-14 |
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CFTC Orders Deutsche Bank Securities Inc. to Pay $3 Million to Settle Charges of Improper Investment of Customer Segregated Funds, Reporting and Recordkeeping Violations, and Supervision Failures , 7089-14 |
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CFTC’s Global Markets Advisory Subcommittee on Foreign Exchange Markets Submits Report , 7088-14 |
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CFTC Staff Issues No-Action Letter Providing Relief to Entities Operating Insurance-Linked Securities Issuers , 7087-14 |
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Federal Court Orders Royal Bank of Canada to Pay $35 Million Penalty for Illegal Wash Sales, Fictitious Sales, and Noncompetitive Transactions , 7086-14 |
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CFTC Revokes Registrations of Illinois Resident Aleks A. Kins and Chicago-based AlphaMetrix, LLC , 7085-14 |
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CFTC Staff Issues Extensions of No-Action Relief to Four Foreign Clearing Organizations , 7084-14 |
