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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 Press Release |
March 11, 2013
CFTC alleged that company collected $415,000, lost money trading, collected high fees, then shut down with no way for customers to follow up.
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By Press Release |
January 2, 2013
The CFTC says RJO failed to diligently supervise the handling of customer orders over four years.
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By Press Release |
December 19, 2012
The U.S. Commodity Futures Trading Commission announced an Order today against UBS AG and UBS Securities Japan Co., bringing and settling charges of manipulation, attempted manipulation and false reporting of certain global benchmark interest rates.
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By Press Release |
November 21, 2012
The CFTC today announced the filing and simultaneous settlement of charges against Cantor Fitzgerald & Co., Inc. for failing to maintain sufficient funds in its customer segregation account for a period of three days.
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By Press Release |
September 27, 2012
CFTC orders JPMorgan to pay $600,000 civil monetary penalty for violating cotton futures speculative position limits.
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By Press Release |
July 9, 2012
The CFTC says Robert Mihailovich Sr. and Growth Capital Management LLC fraudulently solicited more than $30 million to trade commodity futures and forex.
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By Press Release |
June 5, 2012
The CFTC says that over an 18-month period, Morgan Stanley unlawfully executed, processed and reported numerous off-exchange futures trades.
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By Press Release |
April 18, 2012
Virginia company ordered to pay $3 million, while the Colorado firm must pay more than $6 million in unrelated cases.
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By Press Release |
March 14, 2012
CFTC charges Joseph F. Welsh III, former MF Global broker, with attempted manipulation of palladium and platinum futures prices.
