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By Press Release |
June 19, 2013
CFTC orders ABN AMRO Clearing Chicago LLC to pay $1 million to settle charges of segregated and secured fund deficiencies, a minimum net capital violation, books and records violation, and supervision failures.
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By Press Release |
May 30, 2013
The CFTC says Kevin Cassidy and David Lee, a former trader for the Bank of Montreal, deceived the bank from 2003 to 2007.
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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 |
May 16, 2013
CFTC claimed defendants solicited 2,000 customers then misappropriated at least $9.6 million of pool funds for personal use.
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By Press Release |
February 19, 2013
CFTC orders Enskilda Futures Limited to pay a $125,000 civil monetary penalty for failing to meet minimum capital requirements due to margin errors.
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By Press Release |
February 12, 2013
The court ruled in the favor of the CFTC, which claimed J. Hansen Investments defrauded investors and misappropriated client funds for personal use.
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By Press Release |
February 6, 2013
Court says that defendants fraudulently solicited and accepted funds from 99 Retail Customers in connection with alleged forex scheme.
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By Press Release |
December 10, 2012
Court finds that defendants fraudulently solicited and accepted over $1.4 million from customers to trade crude oil futures contracts in a commodity pool.
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By Press Release |
October 22, 2012
The CFTC says the futures commission merchant did not diligently investigate suspicious transactions.
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By Press Release |
April 26, 2012
CFTC Orders Texas-based PassThrough Investments, LLC, and its principals, Stephen Brantley and Dwayne Bryant Dawson, to pay more than $1.1 million in sanctions to settle CFTC Charges of fraud in operating a forex trading pool.
