Font Size: AAA // Print // Bookmark

Press Releases

All // General Press Releases // Enforcement Press Releases
Date
Press Releases
05/23/2012
Federal Court in New York Orders Chicago Resident and Former Floor Broker, Kent R.E. Whitney, to Pay $600,000 for Margin Call Avoidance Scheme, 6261-12
05/18/2012
CFTC Approves Notice of Proposed Rulemaking Regarding Regulations on Aggregation for Position Limits for Futures and Swaps, 6260-12
05/18/2012
CFTC Approves Final Rule on Swap Data Recordkeeping and Reporting Requirements for Pre-Dodd-Frank and Transition Swaps, 6259-12
05/16/2012
Federal Court in South Carolina Orders Ronald E. Satterfield and Nicholas and Patricia Bos to Pay over $7.5 Million for Fraud in Connection with a Forex Ponzi Scheme, 6258-12
05/14/2012
CFTC Orders ACI Capital Group, L.L.C. and Alexandre P. Guimaraes to Pay Approximately $850,000 in Restitution and Penalty to Settle Forex Fraud Charges, 6257-12
05/11/2012
CFTC Charges Michael J. Leighton of Torrance, Calif., with $1.6 Million Commodity Pool Fraud, 6256-12
05/10/2012
CFTC Proposes Order Amending the Effective Date for Swap Regulation Order Issued on July 14, 2011, 6255-12
05/09/2012
CFTC Charges New York Firm Madison Dean, Inc., and its Principals, George Athanasatos and Laurence Dodge, with Forex Fraud, 6254-12
05/08/2012
CFTC Obtains Default Judgment against Former Florida Resident Juvenal E. Machado and His Company, Invers Forex, LLC, for Off-Exchange Forex Scam, 6253-12
05/07/2012
Joint Statement on Regulation of OTC Derivatives Markets,
05/03/2012
CFTC to Hold Open Meeting to Consider a Final Rule on Core Principles and Other Requirements for Designated Contract Markets and a Proposed Order Amending the Effective Date for Swap Regulation, 6252-12
05/03/2012
Federal Court in New York Orders Thomas Qualls and His Company, International Foreign Currency, to Pay More than $4.6 Million in Restitution and Penalties in Connection with Off-Exchange Forex Futures Fraud, 6251-12
05/03/2012
CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation, 6250-12
05/03/2012
CFTC Charges Illinois Resident Dimitry Vishnevetsky and His Company, Oxford Capital, LLC, with Commodity Pool Fraud, 6249-12
05/01/2012
Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer, 6248-12
05/01/2012
CFTC Charges Sidney J. Charles, Jr. and his Maryland-based Company, The Borrowing Station, LLC, in Forex Ponzi Scheme, 6247-12
05/01/2012
CFTC Votes to Clarify Indemnification and Confidentiality Provisions in the Dodd-Frank Act, 6246-12
04/26/2012
Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc., 6245-12
04/26/2012
CFTC Orders Texas-based PassThrough Investments, LLC, and its Principals, Stephen Brantley and Dwayne Bryant Dawson, to Pay over $1.1 Million in Sanctions to Settle CFTC Charges of Fraud in Operating a Forex Trading Pool, 6244-12
04/26/2012
CFTC Settles Action against Florida Resident Ghassan Tawachi for Fraud and Misappropriation, 6243-12
04/25/2012
CFTC Charges Georgia Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and Misappropriation, 6242-12
04/25/2012
CFTC Releases Rule Enforcement Review of NYSE Liffe U.S., 6241-12
04/23/2012
Federal Court in California Orders Forex Liquidity LLC to Pay $400,000 for Failing to Maintain Required Net Capital and Books and Records, 6240-12
04/19/2012
Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts and Making False Statements, 6239-12
04/19/2012
Volcker Rule Conformance Period Clarified, 6238-12
04/18/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Financial Reporting Guidance to Futures Commission Merchants, 6237-12
04/18/2012
Federal Court Orders Colorado Defendants Flint-McClung Capital LLC and Shawon McClung to Pay over $6 Million in CFTC Action Charging Them with Running Forex Ponzi Scheme, 6236-12
04/18/2012
Virginia Federal Court Orders Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, to Pay More than $3 Million in Forex Ponzi Scheme, 6235-12
04/18/2012
The Montreal Exchange’s S&P/TSX 60 Index Mini Futures Contract has been Deemed Certified and may be Offered to U.S. persons through Direct Access Effective April 19, 2012, 6234-12
04/17/2012
CFTC, National Futures Association, and AARP co-sponsor "Avoiding Fraud is Your Best Money Strategy" during Money Smart Week, 6233-12
04/16/2012
CPSS and IOSCO Issue Final Report on Principles for Financial Market Infrastructures and Seek Comment on Two Consultative Documents, 6232-12
04/13/2012
CFTC Revokes Registration of Robert Wayne Mansell, 6231-12
04/12/2012
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
04/12/2012
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
04/11/2012
CFTC to Hold Open Meeting to Consider Two Final Rules, 6228-12
04/09/2012
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
04/05/2012
CFTC Requests Public Comment on Application Submitted by Nadex Clearing, LLC for Registration as a Derivatives Clearing Organization, 6226-12
04/04/2012
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
04/02/2012
CFTC Issues Order Prohibiting North American Derivatives Exchange’s Political Event Derivatives Contracts, 6224-12
04/02/2012
CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme, 6223-12
03/28/2012
CFTC Seeks to Revoke the Registrations of Illinois Resident Joseph A. Dawson and His Company, Strategic Research LLC, 6222-12
03/27/2012
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
03/27/2012
CFTC’s Division of Market Oversight Issues Advisory Addressing Bona Fide Hedge Transactions and Positions, 6220-12
03/27/2012
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
03/26/2012
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
03/26/2012
CFTC Announces Public Meeting of the Technology Advisory Committee and Members of the New Subcommittee on Automated and High Frequency Trading, 6217-12
03/23/2012
CFTC Seeks Public Comment on Request from NYPC for Order Permitting Cross Margining for Market Professionals, 6216-12
03/22/2012
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
03/21/2012
CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action, 6214-12
03/20/2012
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
03/20/2012
CFTC Seeks Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Cleared Swaps and Foreign Futures Contracts, 6212-12

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Media Contacts in Office of Public Affairs

  • Steven Adamske
  • R. David Gary
  • 202-418-5080
Orange CFTC Banner

Press Room Email Subscriptions