CPOs/CTAs

The investment manager of a cash collateralized loan obligation (CLO) transaction requested, and DSIO granted pursuant to Regulation 140.99, a no action position from DSIO ...

This firm committed solicitation fraud, misappropriation and issued false account statements to commodity pool participants while operating a commodity pool Ponzi scheme.

The fraud allegedly involved misrepresenting trading practices and historical trading returns and the preparation of false account statements and performance reports to pool members.

The CFTC says Mitchell Brian Huffman operated a fraudulent commodity pool scheme that defrauded customers of more than $3.2 million in connection with exchange-traded commodity ...

The CFTC says Scott "directly and by word of mouth, allegedly solicited pool participants located in Texas and solicited at least some pool participants by ...

Federal Court Issues Emergency Order Freezing Defendants’ Assets and Protecting Books and Records.

The Division of Swap Dealer and Intermediary Oversight confirmed the availability of Staff Letter 00-10, which provided CPO registration relief to a university's cooperative extension ...

The Division of Swap Dealer and Intermediary Oversight (Division) took a CPO registration no-action position with respect to the operation of certain collective trading vehicles ...

The two scams featured one involving fraud while acting as a Commodity Pool Operator (CPO) and the other involving fraud while acting as a Commodity ...