CPOs/CTAs

This case featured a firm that agreed to pay $2.8 million in rebates to some of its commodity pool participants by investing the rebate funds ...

The CFTC succeeding in getting a court to order restitution from a fraudulent CPO/CTA but now the money must be collected to make clients whole.

This is another CFTC no-action letter dealing with the oral recordkeeping by CTAs. This letter extends the relief to CTAs that are members of a ...

DSIO granted no action relief with respect to registration as a CPO for an entity acting as a directed trustee with respect to a commodity ...

Consistent with CFTC Staff Letter 12-37, the Division of Swap Dealer and Intermediary Oversight provided no-action relief from commodity trading advisor registration to family offices ...

This fraudster got in trouble, in part, for failing to register as a CTA.

Federal Court Orders California Resident Ryan A. Nassbridges and his California Companies to Pay over $18 Million in Civil Monetary Penalties in a Commodity Pool ...

Federal Court Orders Boston Resident John B. Wilson and His Company, JBW Capital LLC, to Pay a Civil Penalty of More than $2.8 Million for ...