Order Requires Metals Depository to Pay $500,000 to Hunter Wise Receivership.
Absa Bank and previously sanctioned FirstRand Bank, Ltd. prearranged noncompetitive corn and soybean futures trades.
This fraudster used telemarketing and an internet web page to solicit retail customers to execute financed off-exchange precious metals transactions.
The Commission went after a former risk management consultant and associated person of a registered FCM with charges of fraud and unauthorized trading.
Keynote Address of CFTC Commissioner J. Christopher Giancarlo at The Global Forum for Derivatives...
Commissioner Giancarlo calls for a new spirit of regulatory comity and cooperation.
This FCM was fined for failing to meet the minimum financial requirements and other violations.
Certain accounts held aggregated net long positions which exceeded the spot month speculative position limit for live cattle futures contracts.
Order includes restitution award and prohibitions against future activity.
The CFTC alleges a Ponzi scheme, with the defendants fraudulently soliciting more than $8.3 million from at least 40 investors for pooling and trading in ...
DMO is providing time-limited relief, subject to specified conditions, to SEFs from the requirement under section 43.2 until December 15, 2015, at 12:00 am EST. ...