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By Press Release |
January 16, 2013
The CFTC says the CTA violated the anti-fraud provisions of the Commodity Exchange Act.
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By Press Release |
January 15, 2013
The regulator says the defendants, Charles Timberlake and Trans Global Investments LLC, committed commodity pool fraud.
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By Press Release |
January 3, 2013
The CFTC order requires Mizuho to pay a $175,000 civil monetary penalty for allegedly not notifying the CFTC its secured funds were low.
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By Press Release |
October 1, 2012
In a related criminal proceeding, the defendant is sentenced to 57 months imprisonment and ordered to pay restitution for alleged Ponzi scheme.
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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 |
August 13, 2012
Federal court orders defendants to pay more than $5.4 million in restitution and civil monetary penalties.
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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 24, 2012
The CFTC says Schiller lied about his success as a trader and used altered account statements to bolster his claims.
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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
