Federal court orders Fred Jager, Harold E. Martin, Jr. and the Hunter Wise Companies to Pay over $108 Million in Restitution and Penalties. Court Calls ...
Commissioner O'Malia implores that "it is critically important that international regulators come together now to harmonize swap data reporting, exchange trading, and central counterparty (CCP) ...
Federal Court Issues Order Freezing Defendants’ Assets and Prohibiting Destruction of Books and Records.
This firm settled for failing to comply with minimum financial requirements for FCMs and RFEDs.
The Division of Swap Dealer and Intermediary Oversight granted no-action relief from the requirement to register as a commodity pool operator to a Delegating CPO ...
The allegations include engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.
RP Martin Accepted over $400,000 for Unlawful Manipulative Assistance to Traders, the CFTC alleges. CFTC Orders RP Martin to Pay a $1.2 Million Civil Monetary ...
Acting Chair Wetjen asks Congress for more money to help carry out the CFTC's increasing duties.
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).
Director McGonagle tells Congress about his division's oversight of the market, including "enforcement reviews of DCMs’ self-regulatory programs" and its evaluation of "their compliance with ...