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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 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Obligation of Swap Dealers and Major Swap Participants to Provide Certain Disclosures for Certain Transactions Under Regulation 23.431 , 6578-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Relief for Swap Dealers in Connection with Prime Brokerage Arrangements , 6577-13 |
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CFTC Sanctions Two Illinois Residents $400,000 and Imposes a 140-Day Trading Ban for Entering into Unlawful Wash Sales , 6576-13 |
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New CFTC Anti-Fraud Resources Released for Financial Capability Month , 6575-13 |
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CFTC Announces Departure of Office of International Affairs Director Jacqueline H. Mesa; Sarah E. Josephson Announced as New Director , 6574-13 |
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CFTC Announces Public Meeting of the Technology Advisory Committee , 6573-13 |
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Federal Court Orders Wisconsin Resident Eric N. Schmickle and his Company, Q Wealth Management Inc., to Pay over $5 Million in Restitution and a Civil Monetary Penalty for a Multi-Million Dollar Commodity Futures Fraud , 6572-13 |
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CFTC Charges Accounting Firm Tunney & Associates, P.C. and Its Sole Owner Michael Tunney with Failing to Properly Audit a Registered Futures Commission Merchant , 6571-13 |
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CFTC Orders The Linn Group, Inc., a Registered Futures Commission Merchant, to Pay $400,000 Civil Monetary Penalty for Customer Account Deficiencies and Supervision Failures , 6570-13 |
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Federal Court Orders North Carolina Residents Timothy Bailey and Michael Hudspeth, and their Company, PMC Strategy, LLC, to Pay over $1.8 Million for Fraud in Foreign Currency Ponzi Scheme , 6569-13 |
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Federal Court in Florida Orders Michael Alcocer and His Panama-based Company, InovaTrade, Inc., to Pay More than $38 Million in Foreign Currency Fraud Action , 6568-13 |
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Report to the G-20 Meeting of Finance Ministers and Central Bank Governors of 18-19 April 2013 , |
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Federal Court in California Orders National Equity Holdings, Inc. and Its Principal, Robert J. Cannone, to Pay over $3.6 Million to Settle Fraud Charges in CFTC Action , 6567-13 |
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CFTC Grants Order to ICE Clear Europe Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account , 6566-13 |
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CFTC Vacates Kansas City Board of Trade Clearing Corporation’s Registration as a Derivatives Clearing Organization , 6565-13 |
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CFTC and SEC Approve Joint Final Rule Governing Identity Theft , 6564-13 |
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CFTC’s Division of Market Oversight Provides No-Action Relief from Swap Data Reporting Requirements to Swap Counterparties that are not Swap Dealers or Major Swap Participants , 6563-13 |
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CFTC Announces Jonathan L. Marcus as General Counsel , 6562-13 |
