Commodity Futures Trading Commission (CFTC)

The host of violations included misrepresenting the reasons why the defendants could not honor customer withdrawal requests.

The charges included entering into fictitious sales and non-competitive transactions.

No-action relief from compliance with certain terms of required Regulation 30.7(c). This was due to expire in March 2015.

SEFs and DCMs will have time-limited no-action relief from Commission Regulation 37.9(a)(2) regarding methods of execution for required transactions, or Commission Regulations 37.203(a) and 38.152 ...

CFTC Seeks to Deny Registrations of Ronald E. Fisher and Zero Chaos Advisors.

CFTC Charges Florida Company International Monetary Metals, Inc. and Florida Resident Martin Sommers with Engaging in Illegal, Off-Exchange Precious Metals Transactions.

CFTC Orders Utah Resident Scott A. Beatty and his Company, Peak Capital Management Group, Inc., to Pay over $1.6 Million for Forex Fraud and Making ...

CFTC Files Complaint Charging Daniel Shak of Las Vegas with Violating a CFTC Order Settling Charges of Attempted Manipulation of NYMEX Crude Oil Futures Contracts