Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing a final rule to amend the position limit rules applicable to security futures products (“SFP”) ...
Trunz spoofed thousands of trades while employed at two New York banks
A deceptive scheme that attempted to manipulate precious metals futures' prices
At least one broker made false statements to CFTC staff during the investigation
PCI failed to disclose the cyber breach to its customers in a timely manner
Marconato made false statements to the NFA by denying the existence of his commodity pool
Jousef claimed “live” trades but never executed any
For nearly three years, Merrill Lynch failed to produce reliable audit trail data requested by Enforcement
Defendants fraudulently solicited and stole money from at least 30 individuals