|
|
CFTC to Hold an Open Commission Meeting on November 3rd , 7046-14 |
|
|
Federal Court Permanently Bans North Carolina Resident Neal Hall from Trading and Registration and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions , 7045-14 |
|
|
Federal Court Orders California Resident Ryan A. Nassbridges and his California Companies to Pay over $18 Million in Civil Monetary Penalties in a Commodity Pool Precious Metals Scheme , 7044-14 |
|
|
CFTC Obtains Default Judgment against Texas-Based Financial Robotics, Inc. for Fraudulent Forex Scheme , 7043-14 |
|
|
CFTC Staff Issues Interpretative Guidance Regarding Customer Margin Deposits Submitted Using Automated Clearing House Payment Processing Systems , 7042-14 |
|
|
Federal Court Orders Boston Resident John B. Wilson and His Company, JBW Capital LLC, to Pay a Civil Penalty of More than $2.8 Million for Commodity Pool Fraud , 7041-14 |
|
|
CFTC and Manitoba Securities Commission Sign Counterpart to Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7040-14 |
|
|
CFTC Revokes Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Walji’s Conviction for Criminal Commodities Fraud , 7039-14 |
|
|
CFTC Revokes Registration of iFinix Futures, Inc. Based on Federal Court’s Permanent Injunction , 7038-14 |
|
|
CFTC Staff Issues Extension of Time-Limited No-Action Relief for Futures Commission Merchants from Requirement to Obtain an Acknowledgement Letter from Certain Depositories , 7037-14 |
|
|
CFTC Announces Departure of Clearing and Risk Division Director Ananda Radhakrishnan , 7036-14 |
|
|
CFTC Staff Announces Self-Executing Registration No-Action Relief for Delegating CPOs when Certain Requirements are Met , 7035-14 |
|
|
CFTC Orders Former CBOT Floor Broker Kent Woods to Pay $200,000 Penalty and Charges Introducing Broker Futures International LLC and Chief Operating Officer Amadeo Cerrone with Trade Practice Violations and Supervision Failures , 7034-14 |
|
|
Federal Court Orders Florida Resident Richard Morello and His Florida Company, Vertical Integration Group LLC, to Pay over $2.5 Million in Monetary Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7033-14 |
|
|
CFTC Settles Action against Friedberg Mercantile Group, Inc., a Registered Futures Commission Merchant, for Secured Amount Deficiency, Commingling of Customer Funds and Failure to Timely Report Secured Amount Deficiency , 7032-14 |
|
|
CFTC Staff Issues No-Action Letter for Singapore Exchange Derivatives Clearing Limited , 7031-14 |
|
|
CFTC’s Global Markets Advisory Committee Releases Agenda for Upcoming Public Meeting , 7030-14 |
|
|
CFTC Charges Florida-based Forex Monthly Income Fund, LLC and its Principals Jean Chauvel, Renaud Pierre-Charles, and Employee and Agent Robert Tripode with Forex Pool Fraud and Other Violations , 7029-14 |
|
|
CFTC Commissioner Sharon Bowen Announces Legal and Policy Team , 7028-14 |
|
|
California Federal Court Permanently Bans Glenn Kane Jackson and Highlands Capital Management from Trading and Registration in Action by CFTC Charging Commodity Pool Fraud , 7027-14 |
|
|
Federal Court Orders Eric Moncada to Pay $1.56 Million Penalty for Attempting to Manipulate the Wheat Futures Market , 7026-14 |
|
|
CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors LLC , 7025-14 |
|
|
CFTC Staff Announced Extension of No-Action Relief Concerning Certain Straight Through Processing Obligations for SEFs and DCMs from Compliance with Certain Requirements of Commission Regulations for Package Transactions , 7024-14 |
|
|
CFTC Charges Florida Company International Monetary Metals, Inc. and Florida Resident Martin Sommers with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7023-14 |
|
|
CFTC Orders Utah Resident Scott A. Beatty and his Company, Peak Capital Management Group, Inc., to Pay over $1.6 Million for Forex Fraud and Making False Statements to the CFTC During an Investigation , 7022-14 |
|
|
U.S. Commodity Futures Trading Commission and Australian Securities and Investments Commission Sign Memorandum of Understanding to Enhance Supervision of Cross-Border Regulated Entities , 7021-14 |
|
|
CFTC Files Complaint Charging Daniel Shak of Las Vegas with Violating a CFTC Order Settling Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts , 7020-14 |
|
|
CFTC Orders Fan Zhang to Pay $250,000 for Engaging in Fictitious Sales and Noncompetitive, Prearranged Trades on CME and CBOT , 7019-14 |
|
|
CFTC Charges Illinois Resident Gerald J. Considine and His Companies, Novo Trading and Considine Trading, with Fraudulent Solicitation and Misappropriating More than $1.65 Million of Customer Funds , 7018-14 |
|
|
CFTC Charges Florida-Based Inter-Global Currency & Precious Metals LLC and Stavros Papastavrou with Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7017-14 |
|
|
CFTC Staff Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process , 7016-14 |
|
|
Division of Swap Dealer and Intermediary Oversight Announces that Swap Dealers and Major Swap Participants May Furnish Risk Exposure Reports to the Commission through WinJammer , 7015-14 |
|
|
CFTC Charges Delaware Depository Services Company with Confirming the Execution of Off-Exchange Precious Metals Transactions , 7014-14 |
|
|
CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT , 7013-14 |
|
|
CFTC Orders Florida Resident Louis J. Ferone to Pay Restitution and a Civil Monetary Penalty Totaling More than $155,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7012-14 |
|
|
CFTC Charges Gregory Christopher Evans with Unauthorized Trading and Concealing Trading Losses , 7011-14 |
|
|
CFTC’s Global Markets Advisory Committee to Meet October 9, 2014 , 7010-14 |
