Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for...
The U.S. Commodity Futures Trading Commission (CFTC) has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc., requiring him to pay a $5 million civil...
View ArticleFederal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir...
The U.S. Commodity Futures Trading Commission (CFTC) obtained judgments against each of the Defendants and Relief Defendants in this fraudulent, off-exchange foreign currency (forex) scheme involving...
View ArticleCFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against J.P. Morgan Securities LLC for failing to diligently supervise its officersâ, employeesâ,...
View ArticleCFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Citigroup Global Markets Inc. for spoofing â bidding or offering with the intent to...
View ArticleEnforcement Director Aitan Goelman to Leave CFTC
U.S. Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad today announced that Division of Enforcement Director Aitan Goelman will leave the agency on February 3, 2017.
View ArticleCFTC’s Enforcement Division Issues New Advisories on Cooperation
The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Enforcement today issued two new Enforcement Advisories outlining the factors the Enforcement Division will consider in evaluating...
View ArticleCFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against E*TRADE Securities LLC, an Introducing Broker, and E*TRADE Clearing LLC, a Futures Commission...
View ArticleCFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against CNCGC Hong Kong Ltd., an investment and trading company headquartered in Hong Kong, for failing...
View ArticleCFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along...
The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of a federal enforcement action in the U.S. District Court for the Middle District of Florida against Anthony J. Klatch II,...
View ArticleFederal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the U.S. District Court for the Southern District of Florida entered an Order of Final Judgment by...
View ArticleCFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for...
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against The Royal Bank of Scotland plc (RBS) for attempted manipulation of the ISDAFIX benchmark...
View ArticleCFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM...
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Forex Capital Markets, LLC (FXCM) , its parent company, FXCM Holdings, LLC (FXCM...
View ArticleCFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to...
The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and settling charges against Dallas, Texas-based Commodity Pool Operators John B. Oden and Oden Capital Management, LLC...
View ArticleCFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and...
The U.S. Commodity Futures Trading Commission (CFTC) filed a federal civil enforcement action in Florida charging Defendants Carlos Javier Ramirez, Gold Chasers, Inc., and Royal Leisure International,...
View ArticleCFTC Unanimously Approves Revisions to Delegated Authorities and Technical...
The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved a Final Rule on Revisions to Commission Delegated Authority Provisions and Technical Amendments (Final Rule).
View ArticleCFTC Issues Order of Registration to the Dubai Mercantile Exchange to Permit...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration (Order) to Dubai Mercantile Exchange Limited (DME), a Foreign Board of Trade (FBOT)...
View ArticleSenate Agriculture Committee Votes Overwhelmingly to Confirm Giancarlo as...
The U.S. Senate Committee on Agriculture, Nutrition, and Forestry this morning voted overwhelmingly to confirm the nomination of J. Christopher Giancarlo as Chairman for the U.S. Commodity Futures...
View ArticleCFTC’s DMO and DCR Issue Conditional No-Action Relief from Reporting...
The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Market Oversight and Division of Clearing and Risk (Divisions) announced today that they have provided no-action relief to Cantor...
View ArticleCFTC Grants SEF Registration to LedgerX LLC
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to LedgerX LLC (LedgerX), granting it registration status with the CFTC as a Swap...
View ArticleDivision of Market Oversight Announces Review of Swaps Reporting Regulations
The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Market Oversight (Division) today announced it is launching a comprehensive review of the swap data reporting regulations found in...
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