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Tag: National Futures Association
Oil Industry Avoids Swaps Rules
Felix Shipkevich
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CFTC Orders Enskilda Futures to Pay $125,000 for Margin Errors
Felix Shipkevich
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NFA Responds to Peregrine Financial Group Audits
Felix Shipkevich
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CFTC Enforcement Watch for 2013: Commodity Pool Scams, Rate-Rigging…
Felix Shipkevich
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NFA Escalates Market Monitoring of Futures Commission Merchants (FCMs)
Felix Shipkevich
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CFTC Charges Arista LLC with $9.5 Million Commodity Pool Fraud
Felix Shipkevich
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Wasendorf Pleads Guilty
Felix Shipkevich
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NFA Returns Peregrine Fine
Felix Shipkevich
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NFA Orders External Audit
Felix Shipkevich
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CFTC’s Chilton to Propose Futures Insurance Fund
Felix Shipkevich
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CFTC Wants Direct Access to Customer Accounts
Felix Shipkevich
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NFA to Review Segregated Funds Audit Process
Felix Shipkevich
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CFTC pursues unregistered CPO, RFED
Felix Shipkevich
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IB and principals suspended by NFA
Felix Shipkevich
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FCM and IB AML Interpretive Notice to be amended
Felix Shipkevich
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CTA charged with solicitation fraud, misrepresentation
Felix Shipkevich
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CPO/CTA SureInvestment suspended in NFA emergency action
Felix Shipkevich
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CPO accused of lying to the National Futures Association
Felix Shipkevich
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