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Federal Court Orders More than $1 Million in Restitution and Civil Monetary Penalties and Permanently Bans Andrew Kurzbard and His Florida-Based Company, Guardian Asset Group, LLC, for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7561-17 |
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Federal Court Orders Utah Resident Kimball Parker and MakeYourFuture, LLC to Pay Customer Restitution and Civil Monetary Penalties for Fraud in Connection with Offering and Selling a Futures Trading System , 7560-17 |
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CFTC Strengthens Anti-Retaliation Protections for Whistleblowers and Enhances the Award Claims Review Process , 7559-17 |
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CFTC Charges Arizona Resident Cory Williams and His Company, Williams Advisory Group, LLC, with Fraudulently Soliciting and Receiving at Least $13 Million in Commodity Pool Scheme , 7556-17 |
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CFTC Charges Pennsylvania Resident William H. Powderly IV with Fraudulently Soliciting Commodity Futures Customers and Distributing False Account Statements , 7553-17 |
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CFTC Adds 71 Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Binary Options and Forex , 7551-17 |
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CFTC Charges Purported Hedge Fund Capitol Equity FX LLC and California Residents Robert Leland Johnson IV and Marisa Elena Johnson with Fraud, Misappropriation, and Registration Violations , 7550-17 |
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Federal Court Orders Relief Defendants Westward International Ltd. and Coucarin Holdings Ltd. to Disgorge Ill-Gotten Funds Totaling More than $1.77 Million in CFTC Binary Options Fraud Action , 7544-17 |
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CFTC Orders Former Citigroup Global Markets Inc. Traders Stephen Gola and Jonathan Brims to Pay $350,000 and $200,000, Respectively, and Bans Them from Trading for 6 Months for Spoofing in U.S. Treasury Futures Markets , 7542-17 |
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Davisco Foods International, Inc. Ordered to Pay $150,000 Penalty for Acting as a Futures Commission Merchant without Registering with the CFTC , 7539-17 |
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CFTC Refuses Registrations of Georgia-based Zero Chaos Advisors, LLC and Ronald Edward Fisher , 7537-17 |
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Federal Court in Florida Orders Neil Pecker and His Company, Vision Financial Partners, LLC, to Pay More than $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC Binary Options Fraud Action , 7536-17 |
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CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving Gold , 7532-17 |
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CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator Requirements , 7530-17 |
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CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for FXCM’s Defrauding of Retail Forex Customers , 7528-17 |
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CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7527-17 |
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Federal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9 Million in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions , 7526-17 |
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CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation , 7524-17 |
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CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise , 7521-17 |
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CFTC’s Enforcement Division Issues New Advisories on Cooperation , 7518-17 |
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Enforcement Director Aitan Goelman to Leave CFTC , 7517-17 |
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CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures , 7516-17 |
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CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations , 7515-17 |
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CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures , 7511-17 |
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Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme , 7509-17 |
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Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for his Role in MF Global’s Unlawful Use of Nearly $1 Billion of Customer Funds and Prohibits Corzine from Registering with the CFTC in any Capacity or Associating with an FCM , 7508-17 |
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CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme , 7506-16 |
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CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7505-16 |
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Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges , 7504-16 |
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CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme , 7503-16 |
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool , 7500-16 |
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Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud , 7498-16 |
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions , 7496-16 |
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CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme , 7492-16 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2016 , 7488-16 |
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Federal Court in Chicago Orders U.K. Resident Navinder Singh Sarao to Pay More than $38 Million in Monetary Sanctions for Price Manipulation and Spoofing , 7486-16 |
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Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 Million from Members of the Public to Trade Forex, without Being Registered with the CFTC , 7485-16 |