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Institutional FX

US Court Slaps $7 Million Fine on TFS-ICAP for Misleading Clients

  • The former CEO and emerging markets desk head were penalized with $500,000 each.
Tuesday, 15/12/2020 | 06:59 GMT by Arnab Shome
Regulation

CFTC Extends Relief to UK Firms on Brexit Transition

  • The move means that UK firms can qualify for time-limited relief from certain regulatory requirements.
Friday, 04/12/2020 | 21:58 GMT by Aziz Abdel-Qader
Regulation

CFTC Further Extends SEFs Relief from Block Trade Requirements

  • The latest no-action relief permits SEFs to execute block trades on SEF’s trading systems and platforms until relief expires.
Friday, 13/11/2020 | 21:01 GMT by Aziz Abdel-Qader
Exchanges

CFTC Permits ICE Futures Abu Dhabi to Trade Directly with Americans

  • ICE Futures Abu Dhabi is backed by Atlanta-based ICE alongside nine of the world’s top energy trading firms.
Friday, 06/11/2020 | 18:51 GMT by Aziz Abdel-Qader
News

US Court Fines $900K to Crypto and Forex Ponzi Scheme Operator

  • The perpetrators might not have enough funds or assets for total recovery.
Thursday, 05/11/2020 | 07:15 GMT by Arnab Shome
Brokers

CFTC Hits Binary Options Marketer Peter Szatmari with $14M Fine

  • The case was related to prior CFTC actions alleging fraud against several other individuals and entities.
Tuesday, 13/10/2020 | 16:48 GMT by Aziz Abdel-Qader
Retail FX

Court Fines Michael Salerno $1.2M for Operating Fake FX Businesses

  • Salerno induced victims to pay advance fees, ranging from $1,200 to $1,900, in order to hire them as forex traders.
Friday, 09/10/2020 | 22:04 GMT by Aziz Abdel-Qader
Brokers

CFTC Cancels Registrations of Phy Capital Investments and Its CEO

  • The CFTC says Phy Capital and Bretas solicited about $7.5 million from investors through several companies in the Miami.
Friday, 09/10/2020 | 19:08 GMT by Aziz Abdel-Qader
Regulation

CFTC Unveils 2020 Enforcement Report, Record Fines against Spoofing

  • During CFTC’s 2020 fiscal year, which ended September 30, the agency’s staff handled a record 113 enforcement actions.
Tuesday, 06/10/2020 | 15:31 GMT by Aziz Abdel-Qader
Brokers

Retail FX Deposits Held at US Brokers Drop $13M in August

  • Nebraska-based TD Ameritrade has racked up $385,000 in additional deposits, which stood at $67.3 million in August 2020.
Friday, 02/10/2020 | 22:01 GMT by Aziz Abdel-Qader
Brokers

CFTC Fines Gain Capital $300,000 for Foremost Bogus Trades

  • Foremost worked with Gain as an independent introducing broker and was subject to a prior enforcement action for fraud.
Tuesday, 29/09/2020 | 22:25 GMT by Aziz Abdel-Qader
Brokers

CFTC Sues PaxForex for Offering Metals, Crypto Trading to US Investors

  • After the charges were filed, the https://paxforex.com/ domain was seized by the FBI as stated on the company’s website.
Monday, 28/09/2020 | 16:28 GMT by Aziz Abdel-Qader
Brokers

CFTC Charges Metal Dealers in $185 Million Fraudulent Scheme

  • Defendants fraudulently received more than $140 million in retirement savings from at least 1,600 persons.
Friday, 25/09/2020 | 15:11 GMT by Aziz Abdel-Qader
Brokers

CFTC Fines EOX, Futures International, OTC Europe for Capital Deficiencies

  • The deficiencies resulted from the IBs’ failure to make deductions when valuing a credit line for an affiliated company.
Thursday, 24/09/2020 | 16:52 GMT by Aziz Abdel-Qader
Regulation

Nadex Revokes Membership of Dominick Carducci after FX Scam Conviction

  • Carducci has been permanently banned from trading on Nadex Markets.
Friday, 18/09/2020 | 03:14 GMT by Celeste Skinner
Regulation

CFTC Files Complaint against Operators of Global Trading Club

  • The regulator has charged four individuals for allegedly soliciting funds from customers to speculate in BTC.
Tuesday, 15/09/2020 | 05:42 GMT by Celeste Skinner
Retail FX

CFTC Charges Highrise Advantage, Others for $4.75 Million FX Fraud

  • Highrise acted as the master pool in the scheme responsible for trading with the proceeds.
Thursday, 10/09/2020 | 07:40 GMT by Arnab Shome
Regulation

CFTC Issues a New Whistleblower Award for Exposing Fraudulent Activity

  • In keeping with its policy of carefully protecting tipsters’ identities, the watchdog provided scant details on the case.
Friday, 04/09/2020 | 21:37 GMT by Aziz Abdel-Qader
Regulation

LedgerX Approved by CFTC to Offer Non-Crypto Derivative Products

  • LedgerX has been working with the CFTC to secure its amendment since 2018.
Wednesday, 02/09/2020 | 20:27 GMT by Aziz Abdel-Qader
Brokers

CFTC Goes After Firms Falsely Claiming Regulatory Status in the US

  • Many of these foreign entities are acting in a capacity requiring them to be registered with the CFTC or the NFA.
Tuesday, 01/09/2020 | 22:03 GMT by Aziz Abdel-Qader
Retail FX

US Authorities Charge Three Men in $28M FX-Linked Ponzi Scheme

  • The defendants targeted African immigrants and church communities, having exploited their religious affiliations.
Friday, 28/08/2020 | 19:39 GMT by Aziz Abdel-Qader
Brokers

CFTC Slams 20 Forex Brands with Regulatory Warnings

  • The CFTC has been active recently in its cleanup of the forex space with charges being brought against a dozen of brokers.
Monday, 24/08/2020 | 22:03 GMT by Aziz Abdel-Qader
Institutional FX

CFTC Settles with Scotiabank for $127M for Regulatory Violations

  • The company misguided the regulator's investigation making false statements.
Wednesday, 19/08/2020 | 17:19 GMT by Arnab Shome
Regulation

CFTC Penalizes 2 Former NYMEX Staff for Insider Trading

  • The shared oil and natural gas futures and options price, volume, and other details with a trader.
Wednesday, 05/08/2020 | 06:48 GMT by Arnab Shome
Brokers

CFTC Data Shows Flat Growth in Retail FX Deposits for June

  • After consecutive increases in its market share, IG US has suffered a slight drop in retail deposits in June 2020.
Tuesday, 04/08/2020 | 23:01 GMT by Aziz Abdel-Qader
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