09/28/2016
CFTC Charges Kevin Michael Symons of Foothill Ranch, California and His Company, FTS Financial, Inc., with Fraud and Jerry Austin Simmons of Charlotte, North Carolina with Fraud and Failure to Register with the CFTC
09/28/2016
CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions
09/28/2016
CFTC Orders Advanced Trading Workshop, Inc. of Jamesville, New York, to Pay a Total of $940,000 in Disgorgement and a Civil Monetary Penalty for Solicitation Fraud and Failure to Register
09/23/2016
CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay $500,000 for Recordkeeping Violations
09/23/2016
CFTC Charges Jamal Y. Vance and His Company All City Investments, LLC with Solicitation Fraud in Connection with Off-Exchange Foreign Currency Transactions and Failure to Register as a Commodity Trading Advisor
09/22/2016
CFTC Orders Chicago-based Advantage Futures LLC, its CEO Joseph Guinan & Former Chief Risk Officer William Steele Jointly to Pay a $1.5 Million Penalty for Supervision, Risk Management Failures & Making Inaccurate Statements in Required CFTC Filings
09/21/2016
CFTC Charges Florida-Based KB Concepts Group, LLC and Kelvin Burgos with Engaging in Illegal, Off-Exchange Precious Metals Transactions
09/21/2016
CFTC Orders Raja Michael Mawad and His Texas-Based Company, RNS Holdings LP, to Pay a Civil Monetary and Restitution Totaling More than $389,000 for Fraud and Failure to File Required Annual Reports
09/20/2016
CFTC Orders JSC VTB Bank and VTB Capital PLC Jointly to Pay a $5 Million Civil Monetary Penalty for Unlawfully Executing Fictitious and Noncompetitive Block Trades of Russian Ruble/U.S. Dollar Futures Contracts
09/15/2016
CFTC Wins Jury Verdict in Commodity Pool Fraud Case
