RCW Staff

Regardless of whether the CFTC grants an award, the CFTC will not disclose any information which could reasonably be expected to reveal a whistleblower’s ...

From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. Gierten did ...

As alleged, a mere fraction of participant funds were traded at NADEX, with at least $2.3 million being misappropriated, leaving a shortfall in excess of ...

When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely on the ...

The frequency of broker-dealers being victimized by imposter websites created to commit financial fraud appears to be rising. The alarming trend—whereby malicious parties design websites ...

FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 ...

I will be pleased that I have furthered and confirmed much of the Dodd- Frank mandate for swaps. Where I have identified flaws ...

All of us here at the CFTC are deeply saddened to hear of the passing of former Commissioner Bart Chilton. With his trademark flair and ...

As part of Project KISS, the Commission is proposing to revise or delete certain provisions in Part 39. These revisions will improve the clarity ...

James McDonald, Director of the CFTC’s Enforcement Division, stated: “Unfortunately, we have seen fraudsters in our markets seek to take advantage of the potential ...