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Commodity Futures Trading Commission (CFTC)

Merrill Lynch building is shown in downtown San Diego, California

Merrill Lynch to pay millions for supervision failures

25/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered Futures Commission ... Read More
bank-fines

Ikon Global Markets ordered to Pay $200,000

04/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing to keep and promptly produce documentation ... Read More
BATS exchange

Bats Global Markets Completes Acquisition of Javelin SEF

02/11/2016(0)
Bats Global Markets, Inc. (Bats: BATS) today completed its acquisition of Javelin SEF, LLC (Javelin), a swap execution facility (SEF). The deal was announced on August 11, 2016 and received approval ... Read More
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CFTC charged Asset Management firm and its owners

24/02/2016(0)
CFTC Charges Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie with Engaging in Illegal, Off-Exchange Precious Metals Transactions The U.S. Commodity Futures Trading Commission (CFTC) announced ... Read More
cftc

CFTC fines individual and Forex Trading Advisors Firms

08/12/2015(0)
CFTC Finds that Respondents Made False Statements to the CFTC, Committed Foreign Currency Solicitation Fraud, and Failed to Register with the CFTC The U.S. Commodity Futures Trading Commission (CFTC) ... Read More
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CFTC Unanimously Approves Proposed Rule on Automated Trading

25/11/2015(0)
The U.S. Commodity Futures Trading Commission (Commission) unanimously approved proposed rules that mark a comprehensive regulatory response to the evolution of automated trading on U.S. designated contract markets (DCMs). The ... Read More
interactive-data

GlobalRisk and Interactive Data Collaboration

20/11/2015(0)
GlobalRisk and Interactive Data Collaborate to Support CFTC’s Derivatives Oversight Operations Offering will provide market regulator with real-time pricing and data to support greater transparency into risk exposures Interactive ... Read More
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CFTC charges IB Capital FX and agents for Forex Trading case

17/11/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and ... Read More
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CFTC charges individial for fraud involving a Futures Trading System and Advisory Service

22/10/2015(0)
Gramalegui also Charged with Violating a CFTC Administrative Order Entered in 2001, Settling Prior Fraud Charges Brought against Him The U.S. Commodity Futures Trading Commission (CFTC) today announced the ... Read More
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Over $31 Million in penalties for Fraud and Ponzi Scheme Operator

21/10/2015(0)
In a Related Criminal Action, John R. Bullar was sentenced to 8 Years 4 Months in Prison and Ordered to Pay over $6 Million in Criminal Restitution The U.S. ... Read More
Broker Cyprus TopFX