FM Home
> Cftc
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Bybit Private Wealth Management Beat November Downtrend with Top Thought Leadership

CFTC

Search for a tag
Regulation

Citigroup Hit with $25m Fine by CFTC for Spoofing, Supervisory Failures

  • Citigroup was handed a $25 million civil monetary penalty for its role in spoofing.
Thursday, 19/01/2017 | 16:18 GMT by Jeff Patterson
Regulation

NYC Court Levies over $11m Penalty on EJS Capital Scammers

  • CFTC also obtained judgements against a relief defendant, Michael Vilner, to seize the $550,000 he received from EJS.
Monday, 09/01/2017 | 19:25 GMT by Aziz Abdel-Qader
Regulation

Jon Corzine Reaches $5 Million Settlement with CFTC over MF Global Collapse

  • Assistant Treasurer Edith O'Brien will also pay $500,000 to settle charges over her role in mishandling the MF Global affairs.
Thursday, 05/01/2017 | 20:19 GMT by Aziz Abdel-Qader
Brokers

US Retail Forex Deposits Flat in November: CFTC FCMs Data

  • There was a broad consolidation for the retail forex industry in November.
Thursday, 05/01/2017 | 09:26 GMT by Victor Golovtchenko
Regulation

CFTC Transition on its Way, Chairman Massad to Resign

  • Donald Trump’s most likely pick is Chris Giancarlo.
Wednesday, 04/01/2017 | 17:28 GMT by Victor Golovtchenko
Regulation

Goldman Sachs Fined $120m, Following USD ISDAFIX Manipulation Charges

  • Goldman Sachs was charged with manipulating the USD ISDAFIX to help benefit its derivatives positions.
Wednesday, 21/12/2016 | 16:14 GMT by Jeff Patterson
Regulation

CFTC Charges Trader with Fraud in Ponzi-Style Commodity Pool Scheme

  • Derek Springfield allegedly fraudulently solicited and received $1.46m in connection with pooled investments.
Wednesday, 21/12/2016 | 09:19 GMT by Finance Magnates Staff
Regulation

Trader Fined $2.5m for Spoofing and Engaging in Deceptive Spoofing Scheme

  • The CFTC found that Oystacher entered into and canceled orders he never intended to fill.
Wednesday, 21/12/2016 | 08:15 GMT by Finance Magnates Staff
Regulation

CFTC Imposes $800K Fine on Investment Firm for Fraudulent Commodity Pool Activity

  • David Zier made false representations to clients in connection with a commodity pool he operated.
Tuesday, 20/12/2016 | 07:33 GMT by Finance Magnates Staff
Regulation

Yumin Li and Kering Capital Fined $1.2m for Prearranged Trading Fraud

  • Li and Kering have been charged with fraudulent transactions engineered by Li on the CME's trading platform.
Thursday, 15/12/2016 | 07:45 GMT by Finance Magnates Staff
Regulation

CFTC Reproposes Position Limits Rules to Curb Commodities Speculation

  • CFTC re-proposed position limits on 25 physical commodity futures as well as swaps that are economically equivalent.
Monday, 05/12/2016 | 21:19 GMT by Aziz Abdel-Qader
Regulation

CFTC Approves Dodd-Frank Rules on Swap Dealer Capital Requirements

  • The proposed capital requirements would vary depending on dynamic factors while also being administrable by CFTC.
Friday, 02/12/2016 | 19:21 GMT by Aziz Abdel-Qader
Regulation

Former CBOE Member Fined $21.8m for Fraudulent Activities in Ponzi Scheme

  • Wilkinson fraudulently solicited $11 million from investors claiming he would trade financial instruments on their behalf.
Thursday, 01/12/2016 | 12:23 GMT by Finance Magnates Staff
Regulation

Don Wilson’s DRW to Face CFTC in Court Showdown over Market Manipulation

  • DRW is set to testify in court this Thursday after rigging prices of an interest-rate futures contract listed by Nasdaq.
Monday, 28/11/2016 | 07:48 GMT by Finance Magnates Staff
Regulation

CFTC Extends Reporting Relief for Certain Swap Dealers

  • The relevant rule concerns non-U.S. swap dealers and major swap participants established in foreign jurisdictions.
Tuesday, 22/11/2016 | 10:19 GMT by Aziz Abdel-Qader
Regulation

CFTC Fines IB Capital FX over $35 Million for Operating Unregistered Scheme

  • Defendants earned $35 million through accepting forex orders and operating as a counterparty on the clients’ trades.
Wednesday, 16/11/2016 | 21:19 GMT by Aziz Abdel-Qader
Regulation

CFTC Approves Supplemental Proposal to Automated Trading Regulation

  • The proposal is designed to address the increased use of automated trading in the markets.
Friday, 04/11/2016 | 18:17 GMT by Finance Magnates Staff
Brokers

Interactive Brokers, OANDA See FX Market Share Decline – FCM Data Shows

  • Total retail funds declined marginally MoM in September, though brokers yielded checkered performances.
Wednesday, 02/11/2016 | 21:18 GMT by Jeff Patterson
Regulation

Citigroup Drawn into CFTC Probe, Investigating Global Rate-Swap Businesses

  • The probe investigates the industry’s leading swap dealers following a 2015 lawsuit.
Monday, 31/10/2016 | 15:58 GMT by Jeff Patterson
Regulation

Don Wilson’s DRW Attempts to Dodge Market Manipulation Trial

  • The trading firm has filed a motion requesting that the case be dismissed prior to it going before a jury.
Friday, 28/10/2016 | 13:45 GMT by Finance Magnates Staff
Regulation

CFTC Chief Massad Sees Validity in Tempered Regulations of Automated Trading

  • Mr. Massad took new aim at automated trading, including rolling back a segments of a multi-tiered proposal for regulation.
Monday, 24/10/2016 | 17:28 GMT by Jeff Patterson
Regulation

Yorkshire Group Charged $1.5m for Illegal Transactions

  • The Yorkshire Group illegally solicited and accepted funds from retail customers to purchase physical precious metals.
Thursday, 20/10/2016 | 06:59 GMT by Finance Magnates Staff
Regulation

CFTC Extends Temporary Relief to SEFs for Block Trades

  • A block trade is a publicly reportable swap transaction that occurs away from a registered SEF's platform.
Friday, 07/10/2016 | 19:19 GMT by Aziz Abdel-Qader
Regulation

CFTC Charges Jody Dupont with Fraud Over Futures Trading Software

  • Open Range and its principal Jody Dupont made a series of materially false claims through various means.
Tuesday, 04/10/2016 | 19:55 GMT by Aziz Abdel-Qader
Regulation

CFTC Charges New Jersey Couple with $600,000 Forex Pool Fraud

  • The couple is also accused of mail and commodities fraud in a related criminal action.
Friday, 30/09/2016 | 21:49 GMT by Aziz Abdel-Qader
Next Previous
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}