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Commodity Futures Trading Commission

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CFTC Grants DCO Registration to LedgerX LLC

26/07/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) announced that by a unanimous vote of the Commission, it has issued an order granting LedgerX, LLC (LedgerX) registration as a derivatives clearing ... Read More
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Assurance Capital Management and its owners fined $2.4 Million

12/07/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) has issued a press release to inform that the Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their ... Read More
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DV Trading ordered to pay a $5 Million penalty

30/06/2017(0)
CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to ... Read More
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NAAM and its owner to pay more than $1.6 million in illegal precious metals transactions

14/06/2017(0)
Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging ... Read More
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CFTC Charged a Company and its Owner in a More than $11 Million Trading Futures fraud scheme

09/06/2017(0)
CFTC Charged Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong, Hyun Joo Hong a/k/a Grace Hong, and Her Company Pishon Holding LLC with Fraudulently Soliciting More than $11 ... Read More
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Company and its owner ordered to pay $6.5 Million penalty in Binary Options fraud case

22/03/2017(0)
Federal Court in Florida Orders Neil Pecker and His Company, Vision Financial Partners, LLC, to Pay More than $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC ... Read More
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FXCM to pay a new fine of $650,000 in relation to the Swiss Franc exchange rate

14/02/2017(0)
FXCM Inc. (NASDAQ:FXCM) (“FXCM” or the “Company”), issued a statement on the settlement of the civil action filed by the Commodity Futures Trading Commission (“CFTC”) against its U.S. subsidiary, ... Read More
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CFTC Approves National Futures Association Rules Enhancing Protections for Retail Forex Customers

28/08/2015(0)
The U.S. Commodity Futures Trading Commission (Commission) today approved rule amendments and a new interpretive notice filed by the National Futures Association (NFA). NFA is a registered futures association ... Read More
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CFTC Staff Announces it is Issuing No-Action Relief from Introducing Broker and Commodity Trading Advisor

08/06/2015(0)
CFTC Staff Announces it is Issuing No-Action Relief from Introducing Broker and Commodity Trading Advisor Registration to Persons Located Outside the United States Engaged in Activities on behalf of ... Read More
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Banks Said Poised to Settle With CFTC in FX-Rigging Cases

11/11/2014(0)
Banks suspected of rigging the $5.3 trillion-a-day currency market are preparing to reach settlements as early as this week with the main U.S. derivatives regulator, according to a person with knowledge ... Read More
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