Enforcement

Specifically, the Complaint alleges that, from approximately April 2017 through the present, Defendants, who have never been registered with the CFTC in any capacity, have ...

Carter and Slobodnik told prospective and actual participants that Blue Guru would use their money to trade futures, including the Dow Jones E-mini and the ...

Marc Broidy, 43, may have grown up in luxury in Beverly Hills, Calif., but he’s going to have to get used to lesser accommodations after ...

Mohlman made payments to satisfy the obligations of third parties, and in 2013, used one of the private fund's assets to make a $150,000 unsecured ...

Tao falsely claimed investor funds would be held in escrow and returned unless $2.5 million was raised. The complaint further alleges that while some of ...

This matter arises from Paritosh Gupta’s improper sharing of confidential information and advice – obtained from his position as a senior research analyst with a ...

Paritosh Gupta (“Gupta”), a former senior Brahman research analyst, transmitted Brahman’s confidential information to Nehal Chopra (“Chopra”), whom Gupta first met in 2006 and subsequently ...

When the CFTC announced last month the 49 enforcement actions and the $413 million in sanctions issued in the year that ended in September, it ...

The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...

The CFTC also implemented enhancements to increase the effectiveness and strength of the agency’s enforcement program. New rules and procedures were put in place to ...