Search Results for: Commodity Futures Trading Commission
Royal Bank of Scotland to Pay $85 Million Penalty
February 6th, 2017
CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates In Total, the CFTC Has Imposed $570 Million in Penalties for Attempted Manipulation of ISDAFIX Benchmark The ...
Oil extends declines on rising U.S. output
January 30th, 2017
Oil prices extended declines on Monday, dragged down by signs of growing output in the United States that could partly offset output cuts by OPEC and other producers. Uncertainty over the outlook for U.S policy also broadly weighed on ...
CFTC General Counsel Jonathan L. Marcus to Depart Agency
January 27th, 2017
U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency. Mr. Marcus joined the agency in 2011 as Deputy General Counsel for Litigation, and ...
E*TRADE ordered to pay a $280,000 penalty
January 27th, 2017
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping ...
CFTC Orders Citigroup Global Markets to Pay $25 Million
January 20th, 2017
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures Five Traders at Citigroup Global Markets Inc. Placed More Than 2,500 Orders with the Intent to Cancel ...
CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty
January 18th, 2017
On 53 occasions, CNCGC HK failed to file required Form 304 reports, and on two occasions the firm filed late Form 304 reports The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against ...
CFTC Grants Order to LCH.Clearnet Limited
January 17th, 2017
CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps The U.S. Commodity Futures Trading Commission (CFTC) today issued an order to LCH.Clearnet Limited (LCH), a CFTC-registered derivatives clearing organization, ...
J.P. Morgan Securities ordered to pay $900,000
January 12th, 2017
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation headquartered in New York City, for failing to diligently supervise its officers’, employees’, and agents’ ...
International law firm investigates multiple complaints against Banc de Binary
January 10th, 2017
International law firm investigates multiple complaints against Banc de Binary International law firm Giambrone (SLG) has today announced a partnership with a global finance firm focused on litigation funding to finance increasing number of litigation in the forex and ...
Company and individuals to pay over $11.6 million for Forex Fraud Scheme
January 10th, 2017
Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme Relief Defendants Alisa Ekdeshman, Executive Services of Florida, LLC, Executive Management of Montana, Inc., ...
