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CFTC/NFA: Enforcement

Foreign travel figured into the NFA’s year
The CFTC’s new report also played up its parallel criminal cases
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
CPO barred for misbehavior
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for work ...
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 ...
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 ...
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 ...
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 ...
Fisher submitted applications to the National Futures Association (NFA) to register Zero Chaos with the CFTC as a Commodity Trading Advisor (CTA) and to register ...
The Order also finds that, rather than trade binary options on behalf of their clients, the Defendants misappropriated almost $2 million of client funds, and ...
Between April and November 2014, while acting as a CPO for OCF, Oden improperly claimed an exemption from registration and violated numerous regulatory requirements for ...
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 precious metals ...
The Complaint alleges that Klatch, upon his release from prison in 2014, implemented a new series of investment schemes between April 2014 and December 2015. ...
In addition, the Order finds that E*TRADE Securities and E*TRADE Clearing violated CFTC Regulation 166.3 by failing to implement policies and procedures to ensure the ...
The CFTC has long given credit for cooperation in determining whether enforcement action is warranted, the nature of charges that should be brought, and the ...
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to traders on its U.S. Treasury and ...
The CFTC Order finds that JPMS failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually ...
Among themselves, Goldman traders described trades based on the manipulated USD ISDAFIX as being based on the “jacked price,” as opposed to the “fair price”; ...
The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-month contracts in the ...
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