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CFTC

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Trader and a trading company ordered to pay $2.5 Million Penalty

21/12/2016(0)
Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading ... Read More
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000

20/12/2016(0)
CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool David Zier made ... Read More
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty

08/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Société Générale SA (Société Générale) for failing to properly report certain non-deliverable ... Read More
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CFTC approved rules for swap dealer and major swap participant minimum capital requirements

05/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today unanimously approved proposed rules establishing swap dealer (SDs) and major swap participant (MSPs) minimum capital requirements. As required by the Dodd ... Read More
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Former CBOE Member to pay $21.8 Million in a Ponzi Scheme

01/12/2016(0)
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme The ... Read More
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CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties

29/11/2016(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Divisions of Clearing and Risk (DCR) and Market Oversight (DMO) today each extended previously-issued no-action relief from the clearing and trade execution ... Read More
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Forex broker fined for more than $35 Million

17/11/2016(0)
Federal Court Orders IB Capital FX, LLC, Michel Geurkink, and Emad Echadi to Pay More than $35 Million in Restitution and a Civil Penalty for Soliciting at Least $50 ... Read More
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CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange, Inc. and the Commodity Exchange, Inc.

14/10/2016(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) announced today that it has issued the results of a rule enforcement review of the New York ... Read More
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CFTC charges Companies and Individuals with fraud in Selling a Futures Trading System

13/10/2016(0)
CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System Parker’s Company, MakeYourFuture, ... Read More
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CFTC approves Rule on cross-border transactions

12/10/2016(0)
The U.S. Commodity Futures Trading Commission (Commission) today voted unanimously to propose rules and interpretations addressing the application of certain swap provisions of the Commodity Exchange Act (CEA) and ... Read More
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