Category: CFTC

October 17, 2022

Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over $1 Billion

October 13, 2022

Federal Court Orders California Man and His Company to Pay Over $7.6 million for Commodity Pool Fraud

October 11, 2022

Federal Court Orders Texas Fraudulent Forex Trader and His Company to Pay Over $940,000

October 5, 2022

CFTC Charges Delaware Precious Metals Dealer, Depository, and Their Owner with Ongoing Fraud

October 3, 2022

CFTC Charges Digital Asset Derivatives Platform and Miami Resident with Facilitating Unlawful Futures Transactions, Failing to Register, and Attempted Manipulation of Native Token

September 30, 2022

CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting and Core Principle Violations

September 29, 2022

CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations

September 29, 2022

CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests

September 29, 2022

CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF

September 27, 2022

The Market Risk Advisory Committee Announces Agenda for September 28 Meeting

September 27, 2022

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods

September 27, 2022

CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person

September 26, 2022

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

September 26, 2022

CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility

September 26, 2022

CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures

September 26, 2022

CFTC Commissioner Christy Goldsmith Romero Calls for Nominations and Topics for the Technology Advisory Committee

September 23, 2022

Registration Opens Today for a CFTC Financial Education Event as Part of World Investor Week – October 3-9

September 23, 2022

CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures

Category: CFTC

Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over $1 Billion

Federal Court Orders California Man and His Company to Pay Over $7.6 million for Commodity Pool Fraud

Federal Court Orders Texas Fraudulent Forex Trader and His Company to Pay Over $940,000

CFTC Charges Delaware Precious Metals Dealer, Depository, and Their Owner with Ongoing Fraud

CFTC Charges Digital Asset Derivatives Platform and Miami Resident with Facilitating Unlawful Futures Transactions, Failing to Register, and Attempted Manipulation of Native Token

CFTC Orders Swap Execution Facility to Pay $1.9 Million for Swap Reporting and Core Principle Violations

CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations

CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests

CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF

The Market Risk Advisory Committee Announces Agenda for September 28 Meeting

CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods

CFTC Seeks to Revoke Registrations of Commodity Trading Advisor and Its Principal and Associated Person

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

CFTC Orders Texas Commodity Trading Advisor to Pay $200,000 for Failing to Register as a Swap Execution Facility

CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures

CFTC Commissioner Christy Goldsmith Romero Calls for Nominations and Topics for the Technology Advisory Committee

Registration Opens Today for a CFTC Financial Education Event as Part of World Investor Week – October 3-9

CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures

Shipkevich PLLC

Resources

Subscribe to our Newsletter

Stay On Top Of The Debt Relief Industry's Regulatory Landscape