Displaying results 51 - 60 of 205
Be Smart: Check Registration & Backgrounds Before You Trade
… entities that claim to be registered and soliciting investors in the U.S. CFTC Registration Deficiency (ReD) List . SEC Public Alert: Unregistered Soliciting Entities (PAUSE) List . … entities that claim to be registered and soliciting investors in the U.S. CFTC Registration Deficiency (ReD) …
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Federal Court Orders Israeli Man to Disgorge $7 Million in Gains from Fraudulent Binary Options Scheme
… Customer Education and Outreach   and the SEC’s Office of Investor Education and Advocacy have issued a joint  investor alert  t o warn about fraudulent schemes involving binary …
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Customer Advisory: 10 Things to Ask Before Buying Physical Gold, Silver, or Other Metals
… Regulatory Authority (FINRA) are jointly issuing this Investor Bulletin to make investors aware of frauds involving investments in physical … at cftc.gov and finra.org . [1]  We have provided this Investor Bulletin for information purposes as a service to … Regulatory Authority (FINRA) are jointly issuing this Investor Bulletin to make investors aware of frauds …
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CFTC Chairman Announces Melanie Devoe Director of the Office of Customer Education and Outreach
… in emerging markets offering products targeted for smaller investors and ongoing interest in crypto assets, it is … various DOE Task Forces. She helped develop Whistleblower Alerts, such as the recently published alert related to the … OCEO engages in outreach and education to retail investors, traders, industry organizations, and the …
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Statement of Commissioner Kristin N. Johnson Supporting Enforcement Action Against Bitcoin Fraud
… and Levine engaged in a scheme to defraud bitcoin investors through off-exchange bitcoin transactions. …  Reichenthal, an attorney licensed in Florida, promised investors he would hold their funds in escrow in his … . [3] See CFTC/SEC Investor Alert: Funds Trading in Bitcoin Futures, …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Order Finding That Jeremy Rounsville of Hunt County Texas, Defrauded Customers in Digital Asset Arbitrage Scheme
… period beginning in May 2018, Jeremy Rounsville defrauded investors seeking to invest in digital asset markets. … known as the "aBOT," never executed trades on behalf of investors. Rounsville’s disturbing misrepresentations … Jr., and Manal Sultan. [1] See, CFTC Customer Advisory: Be Alert and Share Information to Help Seniors Avoid Fraud …
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Statement of Commissioner Kristin Johnson Regarding New RED List Entities
… for accomplishing our mission.  Publishing the Red List alerts the public to entities soliciting U.S. customers … the Securities and Exchange Commission with its Public Alert About Soliciting Entities (PAUSE), have adopted a … of Securities Commissions (IOSCO) has established an Investor Alert Portal on its website to receive and publish …
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Statement of Commissioner Kristin N. Johnson Regarding Fraud and Misappropriation by a Digital Asset Ponzi Scheme
… of New York.  The complaint alleges that Defendants lured investors into their fraudulent digital asset scheme by promising to trade the Bitcoin and Ether that investors deposited and ensure a daily 2.5% return.  These … . [6] See CFTC Customer Advisory: Be Alert and Share Information to Help Seniors Avoid Fraud …
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How to Identify and Talk About Elder Fraud
… Often, there are other factors involved that prompt older investors to consider the fraudsters’ pitch. Some retirees … and stopping fraud early can lessen the damage and alerting officials can prevent other victims from being … likely to match your needs? Are you more of a buy-and-hold investor or do you trade frequently? How do you get …
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Federal Court Orders Affiliate Marketer to Pay More Than $13.8 Million for Binary Options Fraud
… Susan J. Gradman. * * * * * * Joint CFTC-SEC Binary Options Investor Alert The CFTC’s Office of Customer Education and Outreach and the SEC’s Office of Investor Education and Advocacy have issued a joint investor …
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