Home Enforcement
Enforcement
“Romeril faces the threat of reopened and renewed prosecution if he speaks up”
"I have been a vocal skeptic of armchair analyses of our enforcement program that draw grand conclusions merely by counting cases and tallying penalties"
A “language barrier and certain cultural differences” blamed for regulator woes
RELEASE Number 8062-19 October 24, 2019 CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
FINRA officials are working their way toward long-promised expungement reforms with a new rulemaking notice that would create a list of specially trained super-arbitrators who ...
We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from being conned ...
RELEASE Number 8053-19 October 16, 2019 CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
RELEASE Number 8052-19 October 15, 2019 Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Prospective customers lured by disseminating fraudulent marketing materials
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
An investment adviser to a private African development fund left the meter running on a mine and now will have to pay the fare, the ...
“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities
Failure to file timely reports
Thompson induced two customers to send roughly $7 million to fund the purchase of bitcoin after making false representations
A private fund adviser counted his chickens before they hatched and now the SEC has barred him. Scott Huish will also have to pay over ...
The order requires assesses a $140,000 civil monetary penalty
Promised pool participants 8%-20% returns, lost $1.4 million
Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses
Trunz spoofed thousands of trades while employed at two New York banks
A deceptive scheme that attempted to manipulate precious metals futures' prices
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: subscriptions@peimedia.com.