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CFTC hammers 22 companies and individuals with sanctions

By Lauren Schmidt

November 12, 2014 • Reprints

On Monday, Nov. 10, the U.S. Commodity Futures Trading Commission (CFTC) reported on the agency’s enforcement results for fiscal year 2014.

The CFTC obtained a record $3.27 billion in monetary sanctions imposed against companies and individuals. The CFTC filed 67 new enforcement actions while continuing to devote significant resources to litigating a host of complex cases filed in prior years. A number of those litigations reached successful resolutions, either through settlement, the granting of summary judgment, or a finding of liability after trial.

Here are the highlights of these enforcements.

Page 1 of 12
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About the Author

Lauren is the editorial assistant for Futures Magazine. She graduated from DePaul University in 2013 with a degree in English.

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CFTC hammers 22 companies and individuals with sanctions
Related Terms
bank 6455cftc 937Morgan Stanley 934U.S. Commodity Futures Trading Commission 658Citigroup Inc. 603Chicago Board of Trade 574UBS AG 455National Futures Association 316UN Court 240Nebraska 216crude oil futures 178MF Global Inc. 137MF Global Holdings Ltd. 121bank accounts 96retail customers 61Jon S. Corzine 23Barclays Bank PLC 21crude oil markets 18Barclays Capital Inc. 17Enforcement Division 17RP Martin Holdings Ltd. 15JPMorgan Chase Bank N.A. 14automated trading systems 13Hunter Wise Commodities LLC 12Barclays PLC 12large trader 10UBS Securities Japan Co. Ltd. 9RBS Securities Japan Limited 7The Royal Bank of Scotland plc 6ICAP Europe Limited 6FXDirectDealer LLC 5Parnon Energy Inc. 5Arcadia Petroleum Ltd. 5J.P. Morgan Securities LLC 5Lloyds Bank plc 4Centrale Raiffeisen-Boerenleenbank 4Arcadia Energy (Suisse) SA 4Lloyds Banking Group plc 4manipulative device 4Wise 4Morgan Stanley Smith Barney LLC 3Multigrain SA 3MF Global Edith O 3MF Global Holdings Ltd. (Holdings) 3Holdings Jon S. Corzine 3Arista LLC 3Serdika LLC 3BES Capital LLC 3Absa Bank Ltd. 3Sean Stropp 3James Dyer 3John Aaron Brooks 3Abdul Sultan Walji 3Nicholas Wildgoose 3Capital Market Services LLC Global 2SHK Management LLC 2Investment Intelligence Corporation 2Citigroup Energy Inc. 2FirstRand Bank Ltd. 2Agricola Xingu SA 2Citicorp North America Inc. 2CTI Group LLC 2criminal and civil law enforcement authorities 2Daniel Shak 2James David Kline 2Fraud 2Metals Dealer 2Stephen Craig Symons 2Reniero Francisco 2Luke Thrasher 2Wayne Thrasher 2Artem Obolensky 2Michael B. Kratville 2

Free Newsletter Modern Trader Follow

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      • Trader's Life
      • Trading Strategies
      • FUTURES MAG's 500th ISSUE
      • We asked traders
  • Traders
    • Market Data
    • Hot Charts
    • Interactive Charts
    • Trading Calendar
  • FINalternatives
  • Hard Assets
    • Home
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    • Rare Earth Metals
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