Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...
This unregistered CPO solicited and obtained approximately $524,000 from at least 17 investors (Pool Participants) to participate in a commodity pool for the purpose of ...
CFTC Charges North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments,...
Court Grants Restraining Order Freezing Defendants’ Assets and Protecting Books and Records.
Federal Court in Florida Imposes over $35 Million in Sanctions against Florida Company AmeriFirst...
This was a fraudulent precious metals scheme.
Federal Court Orders Former Citigroup Director, John Aaron Brooks, to Pay $500,000 for Defrauding...
This case concerned mismarking and inflating the value of his position in ethanol futures to conceal his trading losses.
This case concerns the operation of an illegal precious metals scheme.
From at least 2012, the CFTC was notifying J.P. Morgan Securities about errors in its large trader reports, which increased in frequency throughout the year ...
No action relief to an entity and its affiliates for their failure to register as CPOs of pools holding volume production payment instruments, which issue ...
The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of ...
CFTC alleges that Steele solicited at least $1.97 million from at least 24 pool participants to participate in three forex pools.