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CFTC
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Regulation
Trader Fined $2.5m for Spoofing and Engaging in Deceptive Spoofing Scheme
2016-12-21T10:15:56.000+02:00
The CFTC found that Oystacher entered into and canceled orders he never intended to fill.
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CFTC Imposes $800K Fine on Investment Firm for Fraudulent Commodity Pool Activity
2016-12-20T09:33:30.000+02:00
David Zier made false representations to clients in connection with a commodity pool he operated.
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Regulation
Yumin Li and Kering Capital Fined $1.2m for Prearranged Trading Fraud
2016-12-15T09:45:18.000+02:00
Li and Kering have been charged with fraudulent transactions engineered by Li on the CME's trading platform.
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Regulation
CFTC Reproposes Position Limits Rules to Curb Commodities Speculation
2016-12-05T23:19:05.000+02:00
CFTC re-proposed position limits on 25 physical commodity futures as well as swaps that are economically equivalent.
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Regulation
CFTC Approves Dodd-Frank Rules on Swap Dealer Capital Requirements
2016-12-02T21:21:50.000+02:00
The proposed capital requirements would vary depending on dynamic factors while also being administrable by CFTC.
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Regulation
Former CBOE Member Fined $21.8m for Fraudulent Activities in Ponzi Scheme
2016-12-01T14:23:42.000+02:00
Wilkinson fraudulently solicited $11 million from investors claiming he would trade financial instruments on their behalf.
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Regulation
Don Wilson’s DRW to Face CFTC in Court Showdown over Market Manipulation
2016-11-28T09:48:02.000+02:00
DRW is set to testify in court this Thursday after rigging prices of an interest-rate futures contract listed by Nasdaq.
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Regulation
CFTC Extends Reporting Relief for Certain Swap Dealers
2016-11-22T12:19:08.000+02:00
The relevant rule concerns non-U.S. swap dealers and major swap participants established in foreign jurisdictions.
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Regulation
CFTC Fines IB Capital FX over $35 Million for Operating Unregistered Scheme
2016-11-16T23:19:26.000+02:00
Defendants earned $35 million through accepting forex orders and operating as a counterparty on the clients’ trades.
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Regulation
CFTC Approves Supplemental Proposal to Automated Trading Regulation
2016-11-04T20:17:48.000+02:00
The proposal is designed to address the increased use of automated trading in the markets.
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Brokers
Interactive Brokers, OANDA See FX Market Share Decline – FCM Data Shows
2016-11-02T23:18:05.000+02:00
Total retail funds declined marginally MoM in September, though brokers yielded checkered performances.
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Regulation
Citigroup Drawn into CFTC Probe, Investigating Global Rate-Swap Businesses
2016-10-31T17:58:54.000+02:00
The probe investigates the industry’s leading swap dealers following a 2015 lawsuit.
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Regulation
Don Wilson’s DRW Attempts to Dodge Market Manipulation Trial
2016-10-28T15:45:55.000+02:00
The trading firm has filed a motion requesting that the case be dismissed prior to it going before a jury.
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CFTC Chief Massad Sees Validity in Tempered Regulations of Automated Trading
2016-10-24T19:28:40.000+02:00
Mr. Massad took new aim at automated trading, including rolling back a segments of a multi-tiered proposal for regulation.
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Regulation
Yorkshire Group Charged $1.5m for Illegal Transactions
2016-10-20T08:59:10.000+02:00
The Yorkshire Group illegally solicited and accepted funds from retail customers to purchase physical precious metals.
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CFTC Extends Temporary Relief to SEFs for Block Trades
2016-10-07T21:19:34.000+02:00
A block trade is a publicly reportable swap transaction that occurs away from a registered SEF's platform.
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Regulation
CFTC Charges Jody Dupont with Fraud Over Futures Trading Software
2016-10-04T21:55:41.000+02:00
Open Range and its principal Jody Dupont made a series of materially false claims through various means.
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CFTC Charges New Jersey Couple with $600,000 Forex Pool Fraud
2016-09-30T23:49:54.000+02:00
The couple is also accused of mail and commodities fraud in a related criminal action.
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Regulation
CFTC Levies $250,000 Penalty on Angus Energy for Acting as Unregistered CTA
2016-09-30T08:02:48.000+02:00
Angus engaged in advising clients on OTC commodity options and swaps contracts without being registered.
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Regulation
CFTC Charges Options Trader with Fraud for Causing Collapse of Trading Firm
2016-09-29T22:57:49.000+02:00
Thomas Lindstrom’s scheme caused his employer over $13.9 million in losses and led to the collapse of Rock Capital Markets.
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Regulation
CFTC Imposes $1.75m Penalty on Futures and Options Trader for Fraud
2016-09-29T20:55:34.000+02:00
Jon Ruggles misappropriated his former employer’s confidential, nonpublic trading information to benefit his personal trading.
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Regulation
CFTC to Phase in Expansionary Interest Rate Swap Clearing Requirements
2016-09-29T08:12:54.000+02:00
The CFTC has opted to expand a list of interest rate clearing requirements, which will be phased in within two years.
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Regulation
CFTC Charges Wells Fargo Bank $400k for Inaccurate Large Trader Reports
2016-09-28T08:37:01.000+02:00
Wells Fargo is under the spotlight again for for failing to submit accurate LTRs.
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CFTC Charges All City Investments with Forex Pool Fraud
2016-09-22T22:39:02.000+02:00
CFTC seeks full restitution, disgorgement of ill-gotten gains and to bar fraudsters from the industry.
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Regulation
CFTC Levies $1.5m Fine on Advantage Futures for Spoofing Trades
2016-09-21T23:53:00.000+02:00
Spoofing is a practice in which trader floods the market with fake orders to fool other market participants.
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