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Enforcement (352)
Your search for Enforcement returned 352 results.
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7/19/2019 | Content area: CPO/CTA
RELEASE Number 7980-19 July 19, 2019 Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Fo...
7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: Private Fund
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/18/2019 | Content area: Investment Adviser
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with the a...
7/18/2019 | Content area: CPO/CTA
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fra...
7/17/2019 | Content area: Broker-Dealer
SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal Litigation Release No. 24536 / July 17, 2019 United States Securitie...
7/17/2019 | Content area: Private Fund
Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7975-19 July 12, 2019 CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing ...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7974-19 July 11, 2019 CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Su...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7973-19 July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To ...
7/11/2019 | Content area: Investment Adviser
You’ve seen it many times. Not long after the SEC releases an enforcement settlement against an adviser or another firm, the Commission than grants th...
7/10/2019 | Content area: CPO/CTA
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitco...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
6/27/2019 | Content area: Broker-Dealer
Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism.   An impetus behind the overhaul was concern...
6/27/2019 | Content area: CPO/CTA
RELEASE Number 7948-19 June 27, 2019 Commodity Pool and its President Ordered to Pay $1.2 Million, Banned from Markets for Futures Fraud Wa...
6/25/2019 | Content area: CPO/CTA
The Order specifically finds that during the period from at least 2008 through 2014 certain traders at MLCI (Traders) placed orders to buy and sell pr...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
6/04/2019 | Content area: Investment Adviser
But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of Ponzi schemes and similar...
5/23/2019 | Content area: CPO/CTA
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore.   In a new enforcement settlement, Graham and his C...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...


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