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CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures , 7419-16 |
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CFTC Orders Georgia Resident Jonathan A. Parker and His Company QuantX Capital, LLC to Pay a Civil Monetary Penalty and Restitution Totaling More than $1 Million for Engaging in Foreign Exchange Commodity Pool Fraud , 7417-16 |
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Federal Court in Illinois Orders John D. Briner, a Disbarred Canadian Attorney, and His Former Law Firm, MetroWest Law Corporation, to Pay $280,000 Penalty for a Money Pass Scheme , 7416-16 |
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Federal Court Orders California Resident Ghassan Tawachi and His Firm, Intelligent Trades, LLC, to Pay in Total Nearly $1.5 Million in Disgorgement and a Monetary Penalty for Defrauding Clients through a Bogus Commodity Futures Trading System , 7415-16 |
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Federal Court Orders Israeli Web-based Firms, Vault Options, Ltd. and Global Trader 365, to Pay More than $4.5 Million for Unlawful Off-Exchange Binary Options Trading, Fraud, and Registration Violations , 7414-16 |
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CFTC Announces Fourth Whistleblower Award , 7411-16 |
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CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in Total $7.2 Million in Restitution and a Civil Monetary Penalty for Solicitation Fraud and for Making False Statements to the National Futures Association , 7407-16 |
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CFTC Orders Singapore-Based Agrocorp International Pte Ltd. to Pay $150,000 for Call Cotton Reporting Violations , 7405-16 |
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CFTC Orders Golden Agri International Pte Ltd. to Pay $150,000 for Failing to Report Cash Positions , 7404-16 |
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Federal Court in Illinois Orders Matthew J. Marcus and His California Company Tech Power Inc. to Pay a $250,000 Penalty for Engineering a Money Pass Scheme Involving More than 1,200 Single Stock Futures Trades , 7403-16 |
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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7401-16 |
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Federal Court Orders Nearly $17.5 Million in Sanctions against Naples, Florida Resident Dorian Garcia and his Companies for Solicitation Fraud, Misappropriation, and Registration Violations in Operating a Ponzi Scheme , 7400-16 |
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CFTC Charges Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Entities with Fraud, Misappropriation, Failing to Register with the CFTC, and Making Misrepresentations to the NFA , 7398-16 |
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Federal Court Orders Dante S. Giovannetti and His Companies Emini Experts, LLC and Capital Trading Concepts LLC to Pay over $2.7 Million in Restitution and Monetary Penalties for Commodity Pool Fraud and Other Violations of the Commodity Exchange Act , 7395-16 |
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CFTC Obtains Default Judgment Orders against Three Magee Family Members of Calgary, Alberta, Canada, for Commodity Pool Fraud , 7394-16 |
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Federal Court Orders Florida Resident Todd Owen Marshall, Harvard Assets LLC, London Assets Inc. & Harvard International Trading, Inc. to Pay More than $2.4 Mln for Engaging in Illegal, Off-Exchange Precious Metals Transactions & Registration Violations , 7393-16 |
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CFTC Charges Three Men and Their Florida-Based Berkley Companies with $2.7 Million Precious Metals and Rare Diamonds Fraud , 7385-16 |
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Federal Court Orders Florida Resident Rico Omar Cox to Pay Over $940,000 and Imposes Permanent Trading and Registration Bans for Solicitation Fraud and False Statements in Commodity Futures Fraud Action Brought by CFTC , 7383-16 |
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CFTC Charges Haena Park and Her Companies Phaetra Capital GP LLC, a/k/a/ Argenta Capital GP LLC, Phaetra Capital Management LP, a/k/a Argenta Capital LLC, and Argenta Group LLC with Misappropriation and Fraud , 7382-16 |
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CFTC Orders Bitfinex to Pay $75,000 for Offering Illegal Off-Exchange Financed Retail Commodity Transactions and Registration Violations , 7380-16 |
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CFTC Orders Florida Residents Ted L. Romeo, Richard D. Schrutt, and Their Company Cypress Wealth Management Group, Inc. to Pay Restitution and Civil Monetary Penalties Totaling More than $530,000 in Precious Metals Enforcement Action , 7376-16 |
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Federal Court Orders California Resident David Bryant to Pay More than $6 Million in Restitution and Penalties for Fraud and Misappropriation , 7373-16 |
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CFTC Orders Citibank, N.A. and Japanese Affiliates to Pay $175 Million Penalty for Attempted Manipulation of Yen LIBOR and Euroyen TIBOR, and False Reporting of Euroyen TIBOR and U.S. Dollar LIBOR , 7372-16 |
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CFTC Orders Citibank to Pay $250 Million for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates , 7371-16 |
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CFTC Orders Chicago-based Cunningham Commodities, LLC and its Controller Salvatore Carmen Russo Jointly to Pay a $150,000 Penalty for Failing to Immediately Report a Customer Segregated Account Deficiency , 7366-16 |
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CFTC Announces Additional Names to Its List of Foreign Entities that Illegally Solicit U.S. Residents in Forex and Binary Options , 7363-16 |
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CFTC Orders New York Resident Nathan Schleifer and Galileo Trading to Pay Restitution and Penalties Totaling More than $1.6 Million for Commodity Futures Fraud , 7361-16 |
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CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and Disgorgement for Aiding and Abetting Commodity Pool Fraud , 7360-16 |
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CFTC Orders Staten Island-Resident Michael Pucciarelli and his Company, Badge Trading LLC, to Pay a $280,000 Penalty for Engaging in Unlawful Noncompetitive Exchange for Physical Transactions , 7355-16 |
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Federal Court Orders UAE Residents Heet Khara and Nasim Salim to Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets , 7353-16 |
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CFTC Announces Whistleblower Award of More Than $10 Million , 7351-16 |
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CFTC Charges Georgia Resident Hendrik A. Van Beuningen and His Company, DeBrink Trading Fund I, LLC, with Fraud, Misappropriation, and Registration Violations in Connection with Their Commodity Pool , 7350-16 |
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CFTC Charges Virginia Resident Tracy Lee Thomas and His Firm, Cayman Islands-Based Marbury Advisors Inc., with Fraudulently Soliciting over $1.2 Million in a Commodity Futures Scheme , 7348-16 |
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CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan Chase Bank, N.A. to Pay a $225,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions , 7347-16 |
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Federal Court Orders Former Alabama Resident John David Stroud and His Companies to Pay More than $4.7 Million in Restitution and a Civil Monetary Penalty for Committing Commodity Pool Fraud and Misappropriation , 7346-16 |
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CFTC Orders Payment of Penalties Totaling $665,000 by Credit Suisse International for Violating the Speculative Position Limit for Wheat Futures and by Credit Suisse Securities (USA) LLC for Submitting False or Misleading Information to the CFTC , 7345-16 |
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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions , 7344-16 |