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By Press Release |
May 29, 2013
The CFTC says FCStone allowed a single account to acquire a massive options position that it could not maintain, losing the company $127 million.
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By Press Release |
April 15, 2013
The SEC charged a prominent Denver-based businessman with insider trading based on information he obtained from the CEO of an oil and gas company.
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By Press Release |
April 15, 2013
A federal court order finds that Robert Cannone and National Equity Holdings fraudulently solicited $1.4 million in client funds.
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By Tom Schoenberg and Brian Wingfield |
February 7, 2013
A former natural-gas trader at Amaranth Advisors LLC, with support from the CFTC, asked a federal appeals court to overturn a $30 million fine over alleged market manipulation.
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By Press Release |
January 3, 2013
The CFTC order requires Mizuho to pay a $175,000 civil monetary penalty for allegedly not notifying the CFTC its secured funds were low.
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By Lindsay Fortado and Greg Farrell |
December 13, 2012
UBS AG may be fined more than $1 billion by U.S. and U.K. regulators for trying to rig global interest rates.
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By Brian Wingfield |
October 31, 2012
A U.S. regulator says Barclays Plc should pay a record $435 million penalty and give up $34.9 million in profit for allegedly manipulating energy markets from late 2006 to 2008.
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By News story |
September 12, 2012
The National Futures Association has said it will return a $700,000 fine against Peregrine Financial Group that was levied in February.
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By Press Release |
December 27, 2011
FINRA says Credit Suisse entered millions of short sale orders without reasonable grounds to believe that the securities could be borrowed.
