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By Press Release |
April 4, 2012
The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against JPMorgan Chase Bank, N.A. (JPMorgan) for its unlawful handling of Lehman Brothers, Inc.’s (LBI) customer segregated funds. The CFTC order imposes a $20 million civil monetary penalty
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By Press Release |
April 2, 2012
CFTC charges Royal Bank of Canada with multi-hundred million dollar wash sale scheme. It also charges that bank concealed material information from, and made material false statements to, a futures exchange.
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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 |
January 9, 2012
CFTC orders Newedge USA, LLC to pay $700,000 for submitting inaccurate large trader reports to the CFTC and for violating a prior CFTC order
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By Press Release |
December 2, 2011
The CFTC announced a proposed Interpretation that relates to anti-fraud authority provided in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)
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By Press Release |
October 6, 2011
CFTC Division of Enforcement has a record 99 enforcement actions in fiscal year 2011, 74% more than last year.
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By Press Release |
September 22, 2011
Regulator also finds McGladrey & Pullen LLP partner David Shane must pay fine in regard to audit failure of FCM One World Capital.
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By Press Release |
September 8, 2011
Cases bring to 25 the number of firms sued by the CFTC for failing to register under the 2008 Farm Bill, the Dodd-Frank Act and the CFTC’s regulations
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By Press Release |
July 25, 2011
Christopher Pia will pay $1 million penalty to settle CFTC charges that he attempted to manipulate the platinum and palladium markets.
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By Michael J. McFarlin |
December 1, 2010
New employees and promotions in the trading industry
