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CFTC/NFA: Enforcement (320)
Your search for CFTC/NFA: Enforcement returned 320 results.
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10/25/2018 | Content area: CPO/CTA
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ruling but ...
11/30/2017 | Content area: CPO/CTA
When the CFTC announced last month the 49 enforcement actions and the $413 million in sanctions issued in the year that ended in September, it failed ...
7/13/2017 | Content area: CPO/CTA
Even though Daniel Winston LaMarco calls a prison cell home, he’ll have to deal with the CFTC charging him with running a Ponzi scheme and failing to ...
3/27/2017 | Content area: CPO/CTA
The CFTC Order finds that for a number of years, from at least May 2011 and continuing through at least October 2014, Davisco accepted orders from its...
3/21/2017 | Content area: CPO/CTA
Fisher submitted applications to the National Futures Association (NFA) to register Zero Chaos with the CFTC as a Commodity Trading Advisor (CTA) and ...
3/21/2017 | Content area: CPO/CTA
The Order also finds that, rather than trade binary options on behalf of their clients, the Defendants misappropriated almost $2 million of client fun...
2/09/2017 | Content area: CPO/CTA
Between April and November 2014, while acting as a CPO for OCF, Oden improperly claimed an exemption from registration and violated numerous regulator...
2/06/2017 | Content area: CPO/CTA
CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pa...
2/01/2017 | Content area: CPO/CTA
The Court’s Order stems from a CFTC Complaint filed on January 12, 2016 that charged DiCrisci and Oakmont with engaging in illegal, off-exchange preci...
1/27/2017 | Content area: CPO/CTA
The Complaint alleges that Klatch, upon his release from prison in 2014, implemented a new series of investment schemes between April 2014 and Decembe...
1/26/2017 | Content area: CPO/CTA
In addition, the Order finds that E*TRADE Securities and E*TRADE Clearing violated CFTC Regulation 166.3 by failing to implement policies and procedur...
1/19/2017 | Content area: CPO/CTA
The CFTC has long given credit for cooperation in determining whether enforcement action is warranted, the nature of charges that should be brought, a...
1/19/2017 | Content area: CPO/CTA
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to t...
1/11/2017 | Content area: CPO/CTA
The CFTC Order finds that JPMS failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amount...
12/21/2016 | Content area: CPO/CTA
Among themselves, Goldman traders described trades based on the manipulated USD ISDAFIX as being based on the “jacked price,” as opposed to the “fair ...
12/20/2016 | Content area: CPO/CTA
The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-mo...
12/20/2016 | Content area: CPO/CTA
The Defendants solicited potential pool participants to invest with Draven by telling them that their funds would be placed in segregated accounts and...
12/19/2016 | Content area: CPO/CTA
Convergent had the ability to monitor ZAM’s financial accounts and Zier’s e-mail correspondence relating to ZAM administration, and in 2014, Convergen...
12/07/2016 | Content area: CPO/CTA
The accuracy and completeness of swap reporting are critical to the Commission’s mission to protect market participants and to ensure market integrity...
11/30/2016 | Content area: CPO/CTA
Wilkinson and his entities were charged with fraud, misappropriation, failing to register with the CFTC, and making misrepresentations to the NFA. The...


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