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Brokers
CFTC Cancels Registrations of Phy Capital Investments and Its CEO
2020-10-09T21:08:37.000+02:00
The CFTC says Phy Capital and Bretas solicited about $7.5 million from investors through several companies in the Miami.
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Regulation
CFTC Unveils 2020 Enforcement Report, Record Fines against Spoofing
2020-10-06T17:31:59.000+02:00
During CFTC’s 2020 fiscal year, which ended September 30, the agency’s staff handled a record 113 enforcement actions.
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Retail FX Deposits Held at US Brokers Drop $13M in August
2020-10-03T00:01:50.000+02:00
Nebraska-based TD Ameritrade has racked up $385,000 in additional deposits, which stood at $67.3 million in August 2020.
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CFTC Fines Gain Capital $300,000 for Foremost Bogus Trades
2020-09-30T00:25:48.000+02:00
Foremost worked with Gain as an independent introducing broker and was subject to a prior enforcement action for fraud.
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Brokers
CFTC Sues PaxForex for Offering Metals, Crypto Trading to US Investors
2020-09-28T18:28:18.000+02:00
After the charges were filed, the https://paxforex.com/ domain was seized by the FBI as stated on the company’s website.
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CFTC Charges Metal Dealers in $185 Million Fraudulent Scheme
2020-09-25T17:11:16.000+02:00
Defendants fraudulently received more than $140 million in retirement savings from at least 1,600 persons.
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CFTC Fines EOX, Futures International, OTC Europe for Capital Deficiencies
2020-09-24T18:52:57.000+02:00
The deficiencies resulted from the IBs’ failure to make deductions when valuing a credit line for an affiliated company.
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Regulation
Nadex Revokes Membership of Dominick Carducci after FX Scam Conviction
2020-09-18T05:14:31.000+02:00
Carducci has been permanently banned from trading on Nadex Markets.
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Regulation
CFTC Files Complaint against Operators of Global Trading Club
2020-09-15T07:42:57.000+02:00
The regulator has charged four individuals for allegedly soliciting funds from customers to speculate in BTC.
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Retail FX
CFTC Charges Highrise Advantage, Others for $4.75 Million FX Fraud
2020-09-10T09:40:56.000+02:00
Highrise acted as the master pool in the scheme responsible for trading with the proceeds.
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Regulation
CFTC Issues a New Whistleblower Award for Exposing Fraudulent Activity
2020-09-04T23:37:23.000+02:00
In keeping with its policy of carefully protecting tipsters’ identities, the watchdog provided scant details on the case.
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Regulation
LedgerX Approved by CFTC to Offer Non-Crypto Derivative Products
2020-09-02T22:27:20.000+02:00
LedgerX has been working with the CFTC to secure its amendment since 2018.
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Brokers
CFTC Goes After Firms Falsely Claiming Regulatory Status in the US
2020-09-02T00:03:37.000+02:00
Many of these foreign entities are acting in a capacity requiring them to be registered with the CFTC or the NFA.
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Retail FX
US Authorities Charge Three Men in $28M FX-Linked Ponzi Scheme
2020-08-28T21:39:08.000+02:00
The defendants targeted African immigrants and church communities, having exploited their religious affiliations.
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CFTC Slams 20 Forex Brands with Regulatory Warnings
2020-08-25T00:03:28.000+02:00
The CFTC has been active recently in its cleanup of the forex space with charges being brought against a dozen of brokers.
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CFTC Settles with Scotiabank for $127M for Regulatory Violations
2020-08-19T19:19:46.000+02:00
The company misguided the regulator's investigation making false statements.
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Regulation
CFTC Penalizes 2 Former NYMEX Staff for Insider Trading
2020-08-05T08:48:54.000+02:00
The shared oil and natural gas futures and options price, volume, and other details with a trader.
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CFTC Data Shows Flat Growth in Retail FX Deposits for June
2020-08-05T01:01:38.000+02:00
After consecutive increases in its market share, IG US has suffered a slight drop in retail deposits in June 2020.
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US Regulator CFTC Grants $9 Million Award to Whistleblower
2020-07-28T08:45:31.000+02:00
This is one of the five largest awards granted as part of the CFTC’s Whistleblower Program.
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Regulation
CFTC Approves Final Rule on Cross-Border Applications of Swaps
2020-07-24T06:52:41.000+02:00
The CFTC approved a final rule on capital requirements for swap dealers and major swap participants.
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Brokers
CFTC Postpones Prosecution of US Coin Bullion Due to Coronavirus
2020-07-22T23:10:26.000+02:00
Salvatore and Joseph Esposito, the owners of precious metals investment firm U.S. Coin Bullion pleaded guilty in October 2019.
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CFTC Fines Southwest Group for FX Registration Lapses
2020-07-21T00:18:54.000+02:00
The regulator also pointed out the timeframe of the alleged crimes, which spanned almost five months.
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CFTC Charges Alista Group with Precious Metals Fraud
2020-07-17T00:32:36.000+02:00
The complaint alleges that defendants made false statements to induce customers to enter into leveraged metals transactions.
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Regulation
Court Partly Denies CFTC’s Entry of Default Against Binary Options Gang
2020-07-15T09:01:27.000+02:00
The motion was denied for Yossi Herzog, Shalom Peretz, and Yukom Communications Ltd.
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Regulation
CFTC Sanctions Two Plutus Entities Offering Digital Asset-Based Swaps
2020-07-13T17:53:13.000+02:00
$150,00 civil monetary penalty required for illegal off-exchange swaps in digital assets and foreign currency.
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Finance Magnates Staff
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