September 29, 2021 CFTC Orders California Company to Pay $100,000 for Failing to Register as a Swap Execution Facility Read More >
September 29, 2021 CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered Read More >
September 28, 2021 CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required Read More >
September 28, 2021 CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures Read More >
September 28, 2021 CFTC Orders Nevada Man and His Company to Pay $374,000 for Fraudulent Solicitation and Misappropriation in Forex Scheme Read More >
September 27, 2021 CFTC Imposes $650,000 Penalty Against Refinitiv US SEF LLC for Swap Reporting Failures Read More >
September 27, 2021 CFTC Orders Mizuho Capital Markets LLC to Pay $1.5 Million for Swap Portfolio Reconciliation, Other Compliance and Supervision Failures Read More >
September 27, 2021 CFTC Orders Citibank and Citigroup Global Markets Limited to Pay a $1 Million Penalty for Swap Data Reporting Violations, Related Supervision Failures, and Violation of a prior CFTC Order Read More >
September 22, 2021 CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation Read More >
September 15, 2021 Federal Court Orders Florida Man to Pay $2.5 Million for Role in Fraudulent Binary Options Scheme Read More >
September 14, 2021 CFTC Charges Texas Resident and Six U.S. and Costa Rican Companies with Engaging in Two Fraudulent Schemes Totaling $6 Million Read More >
September 2, 2021 CFTC Files Action to Suspend Registration of Mississippi Man Based on Criminal Charges Read More >
August 31, 2021 CFTC Staff Provides Temporary No Action Relief from Certain Financial Reporting Requirements to Bank Swap Dealers Read More >
August 31, 2021 CFTC Staff Amends Existing Brexit-Related Relief to Provide Market Certainty Read More >
August 27, 2021 Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC Read More >
August 26, 2021 CFTC Orders Idaho Man to Pay $150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations Read More >
August 25, 2021 CFTC’s Energy and Environmental Markets Advisory Committee to Meet September 15 Read More >
