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Institutional FX

CFTC Fines Refinitiv US $650K for Reporting Violations

  • The company continued to submit erroneous reports for more than four years.
Tuesday, 28/09/2021 | 06:43 GMT by Arnab Shome
Regulation

CFTC Orders Citi to Pay $1 Million Penalty for Swap Data Reporting Failures

  • Citi failed to comply with a previous CFTC order issued against them.
Monday, 27/09/2021 | 20:07 GMT by Felipe Erazo
Retail FX

CFTC Charges Forex Trading Fraud for $426K Solicitation

  • He promised monthly returns of around 60 to 80 percent from trading activities.
Friday, 17/09/2021 | 06:48 GMT by Arnab Shome
Binary Options

US Court of Florida Orders Man to Pay $2.5M on a Binary Options Fraud Case

  • The individual's company was included in the permanent injunction issued by a judge of a US District Court.
Wednesday, 15/09/2021 | 20:06 GMT by Felipe Erazo
Retail FX

CFTC Charges Texas Resident and Costa Rican Firms for Running Forex Fraud

  • The US CFTC seeks restitution, disgorgement, civil monetary penalties, permanent trading and registration bans.
Tuesday, 14/09/2021 | 21:57 GMT by Felipe Erazo
Retail FX

CFTC Orders Idaho Man to Pay a Fine for Commodity Pool Operator Violations

  • Cody Malosi Wilson should pay around $150,000 as a civil monetary penalty.
Thursday, 26/08/2021 | 20:45 GMT by Felipe Erazo
Retail FX

CFTC Fines Silver Star FX and Trading Bot Creator with $15.6 Million

  • The trading software claimed to double the money of the traders.
Thursday, 26/08/2021 | 06:42 GMT by Arnab Shome
Retail FX

CFTC Charges Individual Who Ran an Unregistered Forex Firm in Michigan

  • The authority stated that Welther Oaks, LLC, entered a guilty plea in a separate criminal action filed in Michigan.
Tuesday, 17/08/2021 | 21:16 GMT by Felipe Erazo
Exchanges

BitMEX Settles with US CFTC and FinCEN, Agrees to Pay $100 Million

  • The company stated that such settlement marks a 'new chapter' for the firm.
Tuesday, 10/08/2021 | 22:15 GMT by Felipe Erazo
News

CFTC Orders Three Individuals to Pay $1.75 Million in Crypto Scheme Case

  • The defendants represented a business named Global Trading Club which claimed to trade cryptos on behalf of its customers.
Tuesday, 10/08/2021 | 19:31 GMT by Felipe Erazo
Brokers

US Federal Court Imposes Permanent Trading Ban on PaxForex

  • The court order seeks the defendant to pay a civil monetary penalty of $374,864.
Saturday, 10/07/2021 | 01:07 GMT by Felipe Erazo
Retail FX

US CFTC Charges Three Individuals Involved in a Commodities Fraud Scheme

  • The United States Attorney for the Southern District of New York filed separate criminal charges against them.
Thursday, 01/07/2021 | 23:18 GMT by Felipe Erazo
Retail FX

US CFTC Charges Texas Man for Allegedly Running a Forex Trading Pool Fraud

  • The CFTC is looking for full restitution to defrauded clients, civil monetary penalties, plus trading and registration bans.
Wednesday, 23/06/2021 | 21:49 GMT by Felipe Erazo
Institutional FX

CFTC Slaps Two Commodity Pool Operators with Fraud Charges

  • The firms mislead investors with false statements about their worst losses.
Friday, 28/05/2021 | 06:35 GMT by Arnab Shome
Binary Options

CFTC Orders Binary Options Fraud to Pay $1 Million

  • He has to disgorge $241,070 from ill-gotten funds and additional $846,405 as restitution.
Wednesday, 07/04/2021 | 11:12 GMT by Arnab Shome
Institutional FX

CFTC Charges Nomura Trader for Price Manipulation

  • He provided false statements to the regulator during an investigation.
Tuesday, 02/02/2021 | 12:33 GMT by Arnab Shome
Retail FX

Court Fines Mark Pyatt $255K for Operating FX Fraud Scheme

  • Pyatt, who also used the alias Daniel G. Randolph, was sentenced to 37 months in prison for the Ponzi-like scheme.
Tuesday, 22/12/2020 | 21:56 GMT by Aziz Abdel-Qader
Executive Moves

MPD Director Joshua B. Sterling to Depart CFTC in Jan

  • Joshua B. Sterling has been Market Participants Division (MPD) Director at the CFTC since August 2019.
Monday, 21/12/2020 | 21:20 GMT by Finance Magnates Staff
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
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