Displaying results 51 - 60 of 90
CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures
... August 6, 2015 CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related…
CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures
… its employees by failing to provide adequate employee training regarding their obligations to comply with …
CFTC Sanctions ConAgra Trade Group, Inc. $12 Million for Causing a Non-Bona Fide Price to Be Reported in the NYMEX Crude Oil Futures Contract
… Committee of the Board and providing enhanced compliance training. The CFTC thanks the NYMEX for its assistance with …
CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing In the Precious Metals Futures Markets
… and to take specified steps to maintain and implement training programs and systems and controls to detect and …
Northern California District Court Orders Defendants in a San Francisco Foreign Currency (Forex) Fraud Action to Pay Over $2 Million in Restitution and Civil Penalties
… Zhou, and others, provided persons responding to the ads training on how to trade foreign currency and solicited …
CFTC Finds That Commodity Trading Advisor Misled Public About Commodity Options Trading System
… The Optioneer System , which included hardware, software, training, technical support, monthly data, and market …
CFTC Orders JSC VTB Bank and VTB Capital PLC Jointly to Pay a $5 Million Civil Monetary Penalty for Unlawfully Executing Fictitious and Noncompetitive Block Trades of Russian Ruble/U.S. Dollar Futures Contracts
… Act (CEA) and a CFTC Regulation, as charged, and to conduct training addressing the ethics, compliance, and legal …
CFTC Charges Melody Nganthuy Phan of California and Her Companies, My Forex Planet, Inc., Wal Capital, S.A., and Top Global Capital, Inc., with Operating a Fraudulent $3.7 Million Off-Exchange Forex Scheme
… 2011, Phan, Wal Capital, and TGC, through MFP, used forex training classes to directly and indirectly solicit actual …
Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated
… and addressed. Cantor also lacked sufficient procedures and training concerning the regulatory requirements relating to …
CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried
… implementing enhanced supervision policies, procedures, and training. GSEC provided back-office and other services to …