The Commission’s amended complaint alleged that McGee engaged in unlawful insider trading by purchasing the common stock of PHLY in advance of the company’s July ...

Hall played a significant role in bringing the violations to the attention of regulators. Penson failed to disclose the non-compliant procedures over the course of ...

the Securities Lending Department initially attempted to comply with Rule 204 for long sales of loaned securities by (1) continuing to use its existing systems ...

NFA's exam found deficiencies in several facets of Amp's operations including its anti-money laundering (AML) procedures, its Risk Management Policy and the way the firm ...

The McElhannon Group's willful refusal to cooperate with NFA during its examination of the firm prevented NFA from completing the examination and determining if the firm ...

CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay $171,800 Civil Monetary Penalty and Imposes Permanent Trading and Registration Bans for Engaging in Deceptive Trade ...

CFTC Charges Florida Company Mintco LLC and Florida Residents Stuart Rubin and Richard Q. Zimmerman with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Defrauding ...

Australia and New Zealand Banking Group Ltd. (ANZ), an Australia-based financial services company, settles for failing to comply with its obligation to submit accurate large ...

CFTC Orders Indiana Resident Terry Lee Phillips and his Two Companies to Pay Restitution and a Civil Monetary Penalty Totaling More than $234,000 for Fraud ...