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Nearly three years after the SEC charged Howard Present, CEO of the ill-fated advisory firm F-Squared Investments, a federal jury has found Present liable for ...
Allensworth began working with Weddle to solicit investments in the JustInfo LLC pool. The Complaint alleges that Allensworth and Weddle used fake trading statements and ...
Trader A repeatedly traded using the same spoofing pattern: Trader A placed one or more large orders (typically more than 100 contracts) on one side ...
In June 2011, the CFTC charged Reisinger and ROF with operating a fraudulent commodity pool that solicited approximately $4 million from pool participants from at ...
The Securities and Exchange Commission announced today that it obtained a final judgment by default against a former broker charged with knowingly or recklessly trading ...
Defendants allegedly solicited funds using two websites that claimed Profit Management had “over 15 years of successful online futures trading experience … doing exactly what ...
Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...
Be sure you have a compliance P&P for alerting you when a transaction has cleared your CPO account. That’s a confirmed takeaway from a CFTC ...
MSCO failed in certain respects to implement and maintain adequate systems and procedures for reconciling exchange and clearing fees from at least 2009 through April ...
Over the course of 21 days, from at least March 3, 2016 through March 24, 2016, Tillage's fund administrator received seven fraudulent requests to transfer ...
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