Search Results for: CFTC

CFTC charges individual with fraudulently soliciting commodity futures customers

May 3rd, 2017 (0)
CFTC Charges Pennsylvania Resident William H. Powderly IV with Fraudulently Soliciting Commodity Futures Customers and Distributing False Account Statements The U.S. Commodity Futures Trading Commission (CFTC) filed an enforcement action in the U.S. District Court, Northern District of Illinois, ...

71 Binary Options and Forex providers added to CFTC RED List

April 26th, 2017 (1)
As part of the U.S. Commodity Futures Trading Commission’s (CFTC) ongoing efforts to help protect Americans from fraud, today the CFTC added 71 new names to the RED List. These 71 new additions bring the total number of foreign ...

CFTC grants registration to NEX SEF Limited

April 21st, 2017 (0)
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to NEX SEF Limited (NEX SEF), of London, England, granting it registration status with the CFTC as a Swap Execution Facility (SEF). ...

CFTC charges purported hedge fund that traded commodity futures and forex contracts

April 21st, 2017 (0)
CFTC Charges Purported Hedge Fund Capitol Equity FX LLC and California Residents Robert Leland Johnson IV and Marisa Elena Johnson with Fraud, Misappropriation, and Registration Violations The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a ...

CFTC Acting Chairman Giancarlo Announced Andrew B. Busch as the Commission’s first Chief Market Intelligence Officer

April 4th, 2017 (0)
U.S. Commodity Futures Trading Commission (Commission) Acting Chairman J. Christopher Giancarlo today announced that Andrew B. Busch has been named the Commission’s first Chief Market Intelligence Officer. After spending 30 years in the financial services sector, Mr. Busch comes ...

CFTC charged individual and his companies for Gold investment fraud schemes

February 15th, 2017 (0)
CFTC Charges Carlos Javier Ramirez and His Companies, Gold Chasers, Inc. and Royal Leisure International, Inc., with Misappropriation, Fraudulent Sales Solicitation, and Issuing False Statements in Fraud Schemes Involving Gold Defendants Allegedly Fraudulently Solicited and Received more than $4 ...

CFTC General Counsel Jonathan L. Marcus to Depart Agency

January 27th, 2017 (0)
U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency. Mr. Marcus joined the agency in 2011 as Deputy General Counsel for Litigation, and ...

CFTC Orders Citigroup Global Markets to Pay $25 Million

January 20th, 2017 (0)
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures Five Traders at Citigroup Global Markets Inc. Placed More Than 2,500 Orders with the Intent to Cancel ...

CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty

January 18th, 2017 (0)
On 53 occasions, CNCGC HK failed to file required Form 304 reports, and on two occasions the firm filed late Form 304 reports The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against ...

CFTC Grants Order to LCH.Clearnet Limited

January 17th, 2017 (0)
CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps The U.S. Commodity Futures Trading Commission (CFTC) today issued an order to LCH.Clearnet Limited (LCH), a CFTC-registered derivatives clearing organization, ...
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