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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 |
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 1, 2011
Roy Scarboro Jr. plead guilty to related federal charges and is serving 26-month prison sentence.
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By Press Release |
July 7, 2011
The CFTC charges the defendants, Mark Rice and his company Financial Robotics, with forex solicitation fraud.
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By Press Release |
May 25, 2011
Chicago-based Cadent has to pay $125,000 for allegedly failing to supervise its employees’ handling of customer orders diligently.
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By Press Release |
February 16, 2011
Defendants are charged with solicitation fraud and misappropriation of customer funds.
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By Press Release |
December 15, 2010
The CFTC says Ryan A. Nassbridges of Laguna Niguel, Calif., is guilty of fraudulent solicitation and misappropriation in connection with precious metals futures and options fraud.
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By Press Release |
May 27, 2010
David Owen was charged with operating a multi-million dollar commodity pool fraud.
