Between April and November 2014, while acting as a CPO for OCF, Oden improperly claimed an exemption from registration and violated numerous regulatory requirements for ...
The Court’s Order stems from a CFTC Complaint filed on January 12, 2016 that charged DiCrisci and Oakmont with engaging in illegal, off-exchange precious metals ...
The Complaint alleges that Klatch, upon his release from prison in 2014, implemented a new series of investment schemes between April 2014 and December 2015. ...
In addition, the Order finds that E*TRADE Securities and E*TRADE Clearing violated CFTC Regulation 166.3 by failing to implement policies and procedures to ensure the ...
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to traders on its U.S. Treasury and ...
The CFTC has long given credit for cooperation in determining whether enforcement action is warranted, the nature of charges that should be brought, and the ...
The CFTC Order finds that JPMS failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually ...
The Defendants solicited potential pool participants to invest with Draven by telling them that their funds would be placed in segregated accounts and traded on ...
The Order finds that Oystacher and 3Red intentionally and repeatedly engaged in a manipulative and deceptive spoofing scheme while trading the spot-month contracts in the ...
Convergent had the ability to monitor ZAM’s financial accounts and Zier’s e-mail correspondence relating to ZAM administration, and in 2014, Convergent compliance personnel discovered that ...