The charges allege that the defendants engaged in solicitation fraud and made false statements to the National Futures Association.
CFTC Separately Orders Travis Maurice Cox to Pay Restitution and Penalties to Settle Fraud Charges.
This scheme involved a telemarketing firm that solicited individual retail customers to enter into financed precious metals transactions in gold, silver, and platinum.
Prestige fraudulently solicited and accepted more than $4.7 million from multiple pool participants for investment in one or more commodity pools that traded commodities and ...
Commissioner O'Malia presses that the Commission must collaborate with foreign regulators to increase global harmonization of swaps regulations.
Time-Limited No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States
Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Competent Authorities Designated by European Union Member States
This fraud took more than $700,000 of pool participant funds, money the CFTC says was spent on country club memberships and for travel to Europe.
Commissioner O'Malia states pleasure "that the Commission staff will review all possible package transactions for technological, operational, and jurisdictional issues."
Commissioner O'Malia welcomes back the TAC group.