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Enforcement (373)
Your search for Enforcement returned 373 results.
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9/13/2019 | Content area: CPO/CTA
RELEASE Number 8012-19 September 13, 2019   CFTC Orders Interdealer Broker to Pay $13 Million for Supervisory Failures and False Statements ...
9/12/2019 | Content area: Investment Adviser
The CCO of a Massachusetts-based investment adviser won’t have to pay any further penalties after serving a criminal sentence for bilking his firm’s c...
9/12/2019 | Content area: CPO/CTA
The CEO of a purported CPO/CTA met his future CCO in the same spot where the fraudster lured many of his investors: church.   The congregant, Rafael M...
9/12/2019 | Content area: CPO/CTA
RELEASE Number 8008-19 September 12, 2019 CFTC Orders Registrant to Pay $1.5 Million for Violations Related to Cyber Breach Washington, DC –...
9/12/2019 | Content area: CPO/CTA
RELEASE Number 8007-19 September 12, 2019 CFTC Orders Chief Compliance Officer of Trading Firm to Pay $150,000 for Fraud and False Statements...
9/10/2019 | Content area: CPO/CTA
RELEASE Number 8006-19 September 10, 2019 CFTC Charges Trading Systems Firm and its Principal with Solicitation Fraud and False Statements W...
9/10/2019 | Content area: CPO/CTA
RELEASE Number 8005-19 September 10, 2019 Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data Was...
9/09/2019 | Content area: CPO/CTA
RELEASE Number 8004-19 September 9, 2019 CFTC Charges Unregistered Forex Trading Firm and Its Principal with Fraud and Misappropriation Was...
9/09/2019 | Content area: CPO/CTA
RELEASE Number 8002-19 September 9, 2019 CFTC Orders Registrant to Pay $1.25 Million for Fraud, Unauthorized Trading, and Violating Speculati...
8/29/2019 | Content area: Investment Adviser
Fall is coming but the SEC wants you to know that cherry-picking season is over.  For the second time in a week, the Commission has charged a Californ...
8/15/2019 | Content area: Broker-Dealer
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
8/15/2019 | Content area: Investment Adviser
A Massachusetts investment adviser should have to return nearly more than $275,000 he took from elder friends and clients in what amounted to “an elab...
8/15/2019 | Content area: CPO/CTA
RELEASE Number 7996-19 August 15, 2019 Kraft and Mondelēz Global to Pay $16 Million in Wheat Manipulation Case  Penalty Valued at Three Time...
8/12/2019 | Content area: CPO/CTA
RELEASE Number 7995-19 August 12, 2019 CFTC Charges International Enterprise with Operating a $103 Million Fraudulent Binary Options Trading ...
8/09/2019 | Content area: CPO/CTA
RELEASE Number 7994-19 August 9, 2019 Federal Court Orders Defendants to Pay More Than $2.7 Million in a Forex Fraud Scheme Washington, DC —...
8/08/2019 | Content area: Investment Adviser
In the end, Dawn Bennett received one year in prison for every $1 million she took from investors. We’ve shared with you before the tale of the Maryla...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
7/31/2019 | Content area: CPO/CTA
RELEASE Number 7988-19 July 31, 2019 CFTC Charges Trader with Spoofing in Financial Futures Markets Washington, DC — The U.S. Commodity Futu...
7/29/2019 | Content area: CPO/CTA
RELEASE Number 7985-19 July 29, 2019   CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading ...


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