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Regulation

CFTC Levies $250,000 Penalty on Angus Energy for Acting as Unregistered CTA

  • Angus engaged in advising clients on OTC commodity options and swaps contracts without being registered.
Friday, 30/09/2016 | 06:02 GMT by Finance Magnates Staff
Regulation

CFTC Charges Options Trader with Fraud for Causing Collapse of Trading Firm

  • Thomas Lindstrom’s scheme caused his employer over $13.9 million in losses and led to the collapse of Rock Capital Markets.
Thursday, 29/09/2016 | 20:57 GMT by Finance Magnates Staff
Regulation

CFTC Imposes $1.75m Penalty on Futures and Options Trader for Fraud

  • Jon Ruggles misappropriated his former employer’s confidential, nonpublic trading information to benefit his personal trading.
Thursday, 29/09/2016 | 18:55 GMT by Finance Magnates Staff
Regulation

CFTC to Phase in Expansionary Interest Rate Swap Clearing Requirements

  • The CFTC has opted to expand a list of interest rate clearing requirements, which will be phased in within two years.
Thursday, 29/09/2016 | 06:12 GMT by Jeff Patterson
Regulation

CFTC Charges Wells Fargo Bank $400k for Inaccurate Large Trader Reports

  • Wells Fargo is under the spotlight again for for failing to submit accurate LTRs.
Wednesday, 28/09/2016 | 06:37 GMT by Finance Magnates Staff
Regulation

CFTC Charges All City Investments with Forex Pool Fraud

  • CFTC seeks full restitution, disgorgement of ill-gotten gains and to bar fraudsters from the industry.
Thursday, 22/09/2016 | 20:39 GMT by Aziz Abdel-Qader
Regulation

CFTC Levies $1.5m Fine on Advantage Futures for Spoofing Trades

  • Spoofing is a practice in which trader floods the market with fake orders to fool other market participants.
Wednesday, 21/09/2016 | 21:53 GMT by Aziz Abdel-Qader
Regulation

Texan and His Company RNS Holdings Fined After Losing Over $14m

  • The CFTC has fined the company and its principal almost $400K for fraud and misappropriation of funds.
Tuesday, 20/09/2016 | 20:28 GMT by Victor Golovtchenko
Regulation

JSC VTB Bank and VTB Capital to Pay CFTC $5m for Unlawful Execution of Trades

  • The block trades were fictitious sales which caused untrue prices to be reported by the CME.
Tuesday, 20/09/2016 | 06:06 GMT by Finance Magnates Staff
Brokers

US Forex Industry Size Increased in July, Led by Retired Interactive Brokers

  • Just before Interactive Brokers announced that it is pulling out from forex, its client funds rose.
Wednesday, 07/09/2016 | 21:31 GMT by Victor Golovtchenko
Regulation

Two Mexican Regulators Sign MOU with U.S. CFTC

  • The MoU sets out the co-operation arrangements between the authorities.
Tuesday, 06/09/2016 | 20:44 GMT by Aziz Abdel-Qader
Regulation

Multi-Level Marketing Precious Metals Scheme at the Center of $55m Fraud

  • My Global Leverage LLC was one of the fraudulent precious metals dealers facilitating a massive MLM scheme.
Thursday, 01/09/2016 | 22:54 GMT by Victor Golovtchenko
Brokers

Robert Escobio, Southern Trust Metals, and Loreley Fined $2.5m for Fraud

  • A precious metals fraud scheme case filed by the CFTC has been put to rest with a hefty fine.
Thursday, 01/09/2016 | 20:54 GMT by Victor Golovtchenko
Regulation

CFTC Commissioner Seeks Last Minute Deferral of Uncleared Swaps Margin

  • The market has been petitioning for a delay in implementation of these regulations for some time.
Wednesday, 31/08/2016 | 19:14 GMT by Aziz Abdel-Qader
Regulation

Some US Companies Employing Whistleblower Gag Orders in Bid to Prevent Leaks

  • Several companies appear to have been making deals to muzzle employees that run counter to US law.
Thursday, 25/08/2016 | 14:41 GMT by Jeff Patterson
Regulation

Seed SEF LLC Granted CFTC Registration

  • The CFTC has approved Seed CX as a registered SEF, opening up new opportunities for the group.
Wednesday, 24/08/2016 | 09:47 GMT by Jeff Patterson
Regulation

CFTC Levies ‎‎$600,000 Fine on Irena Feldman for ‎Commodity Pool Fraud

  • U.S. watchdog imposed a fine and permanent ban against ‎the fraudsters ‏for engaging in fictitious forex transactions.‎
Monday, 22/08/2016 | 22:09 GMT by Aziz Abdel-Qader
Brokers

FXCM Releases Statement Following CFTC Post SNB Charges – ‘Disappointment'

  • "We could not be more disappointed that the CFTC has decided to pursue an undercapitalization violation claim."
Friday, 19/08/2016 | 17:21 GMT by Jeff Patterson
Brokers

Breaking: FXCM Charged with Undercapitalization and Guaranteeing Loss Protection

  • The post-SNB troubles for FXCM are continuing as the U.S. CFTC has charged the brokerage on a number of counts
Thursday, 18/08/2016 | 21:33 GMT by Victor Golovtchenko
Regulation

CFTC Charges California-Based Vendor with Fraud Over Trading Software

  • CFTC seeks full restitution, disgorgement of ill-gotten gains and to bar fraudsters from the industry.
Wednesday, 17/08/2016 | 18:46 GMT by Aziz Abdel-Qader
Regulation

South Carolina Couple to Pay over $10 Million for Forex Ponzi Scheme

  • On April 14, 2016, Robert Leben was sentenced to 40 months in prison in a parallel criminal action.
Monday, 15/08/2016 | 16:46 GMT by Aziz Abdel-Qader
Regulation

CFTC: IMM, Sommers Penalised $9.8m for Illegal Off-Exchange Transactions

  • The fines were imposed on Martin Sommers and his company for engaging in illegal, off-exchange transactions in precious metals.
Friday, 12/08/2016 | 19:07 GMT by Finance Magnates Staff
Regulation

CFTC: Ralph Metters Ordered to Pay $500,000 Penalties for Forex Fraud

  • Metters is also required to reimburse victims with a further $500,000 resulting from fraudulent gains.
Friday, 12/08/2016 | 16:02 GMT by Finance Magnates Staff
Brokers

US Retail Forex Funds Dropped in June, Latest FCM Data Shows

  • The latest CFTC report shows that the size of the American retail forex industry contracted in June 2016.
Thursday, 11/08/2016 | 07:55 GMT by Avi Mizrahi
Regulation

Unregulated Californian Investment Advisors Charged with $1.6m Fraud

  • The US CFTC has charged two individuals and their company STA Opus with fraud and misappropriation.
Tuesday, 09/08/2016 | 22:10 GMT by Victor Golovtchenko
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