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By Press Release |
November 19, 2012
The National Futures Association has taken an emergency enforcement action against KS Global Strategies Inc., a commodity trading advisor in Larkspur, Calif.
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By Press Release |
September 25, 2012
The CFTC complaint charges Eric N. Schmickle and Q Wealth Management with operating a commodity futures Ponzi scheme.
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By Press Release |
July 9, 2012
The National Futures Association posted the following press release saying, "NFA has reason to believe that PFG does not have sufficient assets to meet its obligations to its customers."
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By Press Release |
June 21, 2012
An NFA panel found the firms failed to observe high standards of commercial honor and just and equitable principles of trade while operating their commodity pools.
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By Press Release |
June 20, 2012
The firm allegedly failed to notify clients that it sustained huge trading losses and misappropriated customer funds.
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By Press Release |
June 12, 2012
The NFA says that L3M and principal Bruce Gwyn misappropriated investors' funds and misled customers regarding the value of their investments.
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By Press Release |
June 7, 2012
Jose S. Rubio and Rubio Wealth Management charged with misappropriation, false statements, commingling investor funds, and failure to register.
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By Press Release |
March 13, 2012
CFTC orders Goldman Sachs Execution & Clearing, L.P., a registered futures commission merchant, to pay $7 million for supervision failures in handling accounts it carried.
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By Press Release |
February 22, 2012
CFTC orders New York Firm D.E. Shaw & Co. L.P. to pay $140,000 penalty for violating soybean and corn futures speculative position limits
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By Press Release |
October 26, 2011
The Chicago-based registered commodity pool operator was previously found liable for fraud.
