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CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production Violations , 6230-12 |
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CFTC Charges Brad Lee Demuzio of Idaho and his Company, Demuzio Capital Management, with Operating a Fraudulent $1.8 Million Commodity Pool and Forex Ponzi Scheme , 6229-12 |
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CFTC to Hold Open Meeting to Consider Two Final Rules , 6228-12 |
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Federal Court in Texas Orders Total Call Group, Inc. and its Principals to Pay over $4.8 Million in Fines for Making False Representations and Issuing False Account Statements in Forex Fraud , 6227-12 |
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CFTC Requests Public Comment on Application Submitted by Nadex Clearing, LLC for Registration as a Derivatives Clearing Organization , 6226-12 |
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay a $20 Million Civil Monetary Penalty to Settle CFTC Charges of Unlawfully Handling Customer Segregated Funds , 6225-12 |
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CFTC Issues Order Prohibiting North American Derivatives Exchange’s Political Event Derivatives Contracts , 6224-12 |
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CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme , 6223-12 |
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CFTC Seeks to Revoke the Registrations of Illinois Resident Joseph A. Dawson and His Company, Strategic Research LLC , 6222-12 |
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Singapore Exchange Derivatives Trading Limited’s Euro Stoxx 50 Index Futures Contract has been Certified and may be Offered to U.S. persons through Direct Access Effective March 23, 2012 , 6221-12 |
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CFTC’s Division of Market Oversight Issues Advisory Addressing Bona Fide Hedge Transactions and Positions , 6220-12 |
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CFTC’s Division of Market Oversight Issues Advisory Highlighting the Commission’s Special Call Authorities Relating to Claimed Exemptions from Speculative Position Limits , 6219-12 |
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Federal Court in Puerto Rico Orders Angel F. Collazo and ACJ Capital, Inc. to Pay over $3.7 Million for Solicitation Fraud and Issuing False Statements in an Off-Exchange Foreign Currency Scheme , 6218-12 |
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CFTC Announces Public Meeting of the Technology Advisory Committee and Members of the New Subcommittee on Automated and High Frequency Trading , 6217-12 |
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CFTC Seeks Public Comment on Request from NYPC for Order Permitting Cross Margining for Market Professionals , 6216-12 |
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CFTC’s Division of Market Oversight Issues Letter to Market Participants Regarding Compliance with Large Trader Reporting System for Physical Commodity Swaps and Swaptions , 6215-12 |
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CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action , 6214-12 |
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CFTC Charges Florida Resident Abraham Gutterman and His Companies, Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC with Commodity Gold and Oil Options Fraud and Misappropriation , 6213-12 |
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CFTC Seeks Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Cleared Swaps and Foreign Futures Contracts , 6212-12 |
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CFTC Releases Staff Analysis of Market Data Related to Single-Name and Index Credit Default Swaps , 6211-12 |
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CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices , 6210-12 |
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CFTC to Hold Open Meeting to Consider One Final Rule , 6209-12 |
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CFTC Vacates CME Clearing Europe Limited Registration as a Derivatives Clearing Organization , 6208-12 |
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CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer Montgomery, and Brian Reynolds with Commodity Pool Fraud , 6207-12 |
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CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried , 6206-12 |
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CFTC Orders Chicago Futures Commission Merchant FCStone, LLC and New York Introducing Broker Commodity Operations Inc. to Pay $260,000 for Supervision Violations , 6205-12 |
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CFTC Charges MBF Clearing Corp. with Violations of Customer Fund Segregation Requirements , 6204-12 |
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CFTC Charges Florida Firm Angus Jackson, Inc. and its CFO Martin H. Bedick with Making False, Fictitious, or Fraudulent Statements to the NFA , 6203-12 |
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Federal Court in Illinois Orders City Credit Capital, (UK) Ltd. to Pay $140,000 Civil Monetary Penalty for Acting as Unregistered Retail Forex Dealer , 6202-12 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Annual Report Guidance to Commodity Pool Operators , 6201-12 |
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CFTC Announces Process to Designate the Provider of CFTC Interim Compliant Identifiers , 6200-12 |
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CFTC Charges Illinois Resident Christopher Varlesi with Commodity Pool Fraud, Misappropriation, False Statements, and Failure to Register , 6199-12 |
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J.P. Morgan Securities LLC Agrees to Pay $140,000 Penalty for Confirming the Execution of a Prearranged Trade on the CBOT , 6198-12 |
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BlackRock Institutional Trust Co. NA Agrees to Pay $250,000 Penalty to Settle Charges of Prearranged Trading and Fictitious Sales on the CBOT , 6197-12 |
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Federal Court in Illinois Orders Windsor Brokers, Ltd. of Cyprus to Pay $140,000 Civil Monetary Penalty, Cease Soliciting U.S. Customers, and Modify Website , 6196-12 |
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CFTC Charges Alabama Resident John David Stroud and His Companies with Commodity Pool Fraud and Misappropriation , 6195-12 |
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Federal Court in Illinois Orders Australian Firm Enfinium Pty Ltd to Pay $80,000 Penalty, Cease Soliciting U.S. Customers, and Modify Website , 6194-12 |
