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CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision Violations , 8642-22 |
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CFTC Charges Commodity Pool Operators and Their Co-Chief Investment Officer with Deception and Manipulation in Connection with Swaps and Supervision Failures , 8640-22 |
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CFTC Obtains Final Judgment Against Michigan Commodity Pool Operator and His Company for a Fraudulent Forex Scheme , 8639-22 |
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CFTC Charges Sam Bankman-Fried, FTX Trading and Alameda with Fraud and Material Misrepresentations , 8638-22 |
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CFTC Orders Minnesota Registrant to Pay $550,000 for Cross-Product, Cross-Calendar, and Single-Product Spoofing in Soybean Complex Futures , 8637-22 |
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CFTC Amends Its Complaint Against Peter Miller and Omerta Capital LLC to Charge Additional Fraud and False Statements to CME , 8634-22 |
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Federal Court Orders Rhode Island Man to Pay More than $2.8 Million in Restitution for Virtual Currency Fraud , 8630-22 |
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CFTC Charges Former Energy Broker with Paying Brokerage Kickbacks and Misappropriating Nonpublic Information , 8627-22 |
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CFTC Penalizes and Permanently Bans Texan from Trading and Registration for Virtual Currencies Fraud , 8621-22 |
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CFTC Recognizes the UK FCA for Cross-Border Enforcement Cooperation , 8619-22 |
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Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA , 8615-22 |
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CFTC Orders Wisconsin Broker to Pay Over $750,000 for Improper Trade Allocation and Additional Violations , 8614-22 |
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CFTC Releases Annual Enforcement Results , 8613-22 |
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Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over $1 Billion , 8609-22 |
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Federal Court Orders California Man and His Company to Pay Over $7.6 million for Commodity Pool Fraud , 8608-22 |
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Federal Court Orders Texas Fraudulent Forex Trader and His Company to Pay Over $940,000 , 8607-22 |
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CFTC Charges Delaware Precious Metals Dealer, Depository, and Their Owner with Ongoing Fraud , 8606-22 |
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CFTC Charges Digital Asset Derivatives Platform and Miami Resident with Facilitating Unlawful Futures Transactions, Failing to Register, and Attempted Manipulation of Native Token , 8605-22 |
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CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting and Core Principle Violations , 8604-22 |
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CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations , 8603-22 |
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CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests , 8602-22 |
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CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF , 8601-22 |
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CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods , 8599-22 |
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CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person , 8598-22 |
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CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations , 8597-22 |
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CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility , 8596-22 |
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CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures , 8595-22 |
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CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures , 8592-22 |
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CFTC Charges New York Introducing Broker with Failing to Maintain Required Audio Recordings , 8591-22 |
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CFTC Imposes $250,000 Penalty Against bZeroX, LLC and Its Founders and Charges Successor Ooki DAO for Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, and Failing to Comply with Bank Secrecy Act , 8590-22 |
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CFTC Charges Five Entities for Failing to Register as FCMs , 8589-22 |
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CFTC Orders Two California Precious Metals Companies to Pay Over $1 Million for Fraud, Illegal Offering of Retail Commodity Transactions, and Registration Violations , 8588-22 |
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Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants , 8586-22 |
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Federal Court Orders New York Man to Pay Over $800,000 for Commodity Pool Fraud , 8583-22 |
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CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives , 8582-22 |
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CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks , 8581-22 |
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Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order , 8579-22 |
