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CFTC Orders Dubai Traders and Their Firms to Pay $100,000 for Wash Sales , 8476-21 |
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CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales , 8389-21 |
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CFTC Orders Trader and His Firm to Pay $150,000 for Wash Sales , 8161-20 |
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CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations , 8034-19 |
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CFTC Orders Commodity Trading Firm to Pay Penalty for Wash Sales and Improve its Internal Controls , 7952-19 |
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CFTC Orders Aruba-based Copersucar Trading A.V.V. to Pay a $300,000 Penalty for Executing Wash Trades on ICE , 7601-17 |
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CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees , 7582-17 |
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CFTC Orders SG Americas Securities, LLC to Pay a $750,000 Civil Monetary Penalty for its Participation in Wash Transactions and Related Supervision Failures , 7456-16 |
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CFTC Releases Annual Enforcement Results for Fiscal Year 2015 , 7274-15 |
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CFTC Orders Cargill de México SA De CV to Pay $500,000 for Unlawfully Executing Wash Sales on the CBOT and KCBT , 7241-15 |
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CFTC Settles with TeraExchange LLC for Failing to Enforce Prohibitions on Wash Trading and Prearranged Trading in Bitcoin Swap , 7240-15 |
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Federal Court Orders Royal Bank of Canada to Pay $35 Million Penalty for Illegal Wash Sales, Fictitious Sales, and Noncompetitive Transactions , 7086-14 |
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CFTC Releases Enforcement Division’s Annual Results , 6749-13 |
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CFTC Sanctions Two Illinois Residents $400,000 and Imposes a 140-Day Trading Ban for Entering into Unlawful Wash Sales , 6576-13 |
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CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges , 6512-13 |
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CFTC Orders Foreign Traders SMP Bank and Epaster Investments, Ltd. to Pay $980,000 for Engaging in a Wash Sale Scheme in the CME’s Japanese Yen Options Contract , 6337-12 |
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CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme , 6223-12 |
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CFTC Sanctions Cantor Fitzgerald & Co. $100,000 for Wash Sales and Causing Noncompetitive Trading in the Reformulated Gasoline Futures Contract Traded on the New York Mercantile Exchange , 5989-11 |
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CFTC Issues Letter to CME Group, Inc. Regarding ELX EFF Rule, 5872-10
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The CFTC Sanctions Noble Americas Corp. $130,000 for Wash Sales Trading on the New York Mercantile Exchange and Causing Non Bona Fide Prices to Be Reported , 5817-10 |
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San Diego Gas & Electric Company Agrees to Pay a Civil Penalty to Settle CFTC Charge that it Engaged in Wash Sales in the Natural Gas Futures Markets , 5812-10 |
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The CFTC Sanctions Two Canadian Firms $500,000 for Entering into Unlawful Wash Sales , 5776-10 |
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Dubai-Based Aaristo Commodities and Futures DMCC Ordered to Pay $100,000 Penalty Related to Charges of Engaging in Illegal Trades, 5481-08
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CFTC Settles Charges against Dubai-Based Supama International DMCC for Engaging in Illegal Trades that Resulted in an Illegal Pass of Money among Accounts, 5441-08
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French Company Banque CIAL Agrees to Pay Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges that it Engaged in Wash Sales in the Treasury Futures Markets, 5393-07
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CFTC FINES FLOOR BROKER FOR UNLAWFULLY TRADING CRUDE OIL FUTURES CONTRACTS; Robert Benjamin Harmon, Jr. Settles Charges that He Engaged in Wash Sales, Reported Non-Bona Fide Prices, and Executed Non-competitive Trades, 4881-04
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CFTC IMPOSES A TOTAL OF $34 MILLION IN CIVIL PENALTIES ON THREE ENERGY TRADING FIRMS; Reliant Energy Services, Inc. To Pay $18 Million To Settle Charges of False Reporting and Attempted Manipulation, As Well As Charges of Wash Sales; and, CMS Marketing Services & Trading and CMS Field Services To Pay $16 Million to Settle Charges of False Reporting and Attempted Manipulation, 4869-03
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U.S. COMMODITY FUTURES TRADING COMMISSION FINES NYMEX FLOOR BROKER FOR UNLAWFULLY TRADING CRUDE OIL FUTURES CONTRACTS; Michael Garber Settles Charges that He Engaged in Wash Sales, Reported Non-Bona Fide Prices, and Executed Non-competitive Trades; CFTC Also Files Charges Against NYMEX Floor Broker Robert Benjamin Harmon, Jr., 4837-03
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CFTC SUSPENDS NYBOT FLOOR BROKER FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settling Charges Against Trader Brian Thornton, CFTC Finds That Thornton Engaged in Fraud, Bucketing of Customer Orders, Reporting Non-Bona Fide Prices, Noncompetitive Trading, Wash Sales, and Accommodation Trades, 4790-03
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FLOOR BROKER SETTLES CHARGES OF UNLAWFULLY TRADING COFFEE FUTURES; CFTC Finds that Ronald Kilbride Engaged in Fraud, Bucketing of Customer Orders and Reporting Non-Bona Fide Prices, Noncompetitive Trading, Wash Sales and Accommodation Trades, 4749-03
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CFTC SUSPENDS TWO FLOOR BROKERS FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settlement, Joseph Defrancesco Found to Have Engaged in Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices, and Marc Greenstein Found to Have Engaged in Noncompetitive Trading, Wash Sales, and Accommodation Trades, 4676-02
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CFTC Settles Wash Sales Charges Against Texas Broker Ronald Roesler and Illinois Broker David Janson Arising Out of USDA Dairy Options Pilot Program, 4645-02
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CFTC FILES ENFORCEMENT ACTION AGAINST FOUR CSCE FLOOR BROKERS, CHARGING THEM WITH UNLAWFULLY TRADING COFFEE FUTURES; Joseph Defrancesco, Ronald Kilbride, and Brian Thornton Charged with Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices; Defrancesco, Kilbride, Thornton, and Marc Greenstein Also Face Charges of Noncompetitive Trading, Illegal Wash Sales, and Accommodation Trades, 4621-02
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CFTC Files and Settles Administrative Proceeding Against Mitsubishi Corp., Merrill Lynch Futures, Inc., Country Hedging, Inc., and Charles B. Soule for Wash Sales Violations , #4031-97 (CFTC Docket #97-10) Full Text of Order
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