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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 |
October 23, 2012
A federal court order require Robert A. Christy of Milton, Ga., and his company, Crabapple Capital Group LLC to pay over $2.6 million in monetary sanctions for alleged forex fraud.
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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 |
September 13, 2012
Federal court enters emergency order freezing defendant’s assets and protecting books and records.
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By Press Release |
July 25, 2012
CFTC orders Interactive Brokers LLC, a registered futures commission merchant, to pay $700,000 for large trader reporting and supervision violations.
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By Press Release |
July 10, 2012
CFTC files complaint against Peregrine Financial Group, Inc. and Russell R. Wasendorf, Sr. alleging fraud, misappropriation of customer funds, violation of customer fund segregation laws and making false statements.
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By Press Release |
May 31, 2012
According to a federal court order, Eldon A. Gresham promised big gains but traded little of the $15 million he solicited from clients, spending it instead.
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By Press Release |
May 3, 2012
CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation
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By Press Release |
April 12, 2012
CFTC ordered Rosenthal Collins Group, LLC, a registered futures commission merchant, to pay more than $2.5 million for supervision and record-production violations.
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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.
