Enforcement

All this story’s missing is the screenwriter.   The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...

The client, a retired businessman in his 80s, had been with Morgan Stanley for decades before James Polese became his rep eight years ago. The ...

Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...

An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms.   ...

CFTC Order finds that over a five-year period, beginning in at least January 2007 and continuing through May 2012 (the Relevant Period), DBSI made false ...

Thakkar is the president of Edge and has over eighteen years of experience programming custom software applications for the trading industry. In October 2011, Trader ...

The CFTC Complaint alleges that from at least July 2012 through at least March 2017, Zhao repeatedly engaged in manipulative or deceptive acts and practices ...

The CFTC Complaint alleges that, as part of his manipulative and deceptive scheme, from at least November 25, 2013 to December 17, 2013, Mohan repeatedly ...

The CFTC Complaint alleges that beginning in at least May 2008 and continuing through at least July 2013, while employed at a large financial institution, ...

The CFTC Complaint alleges that from approximately August 2008 through November 2013, while employed as a precious metals trader at Bank A, Flotron engaged in ...