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By Press Release |
May 6, 2013
Court enters order freezing Defendant’s assets and protecting books and records.
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By Press Release |
February 8, 2013
The CFTC says Gelber falsely reported orders that manipulated the opening price in Nasdaq E-mini 100 futures.
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By Press Release |
February 5, 2013
The CFTC says Halifax Investment Services must be registered with the regulator under laws that went into effect on Oct. 18, 2010.
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By Press Release |
January 28, 2013
Secured Precious Metals allegedly allowed clients to trade metals with as little as 20% down, bucking rules put in place with Dodd-Frank.
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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 |
March 12, 2012
Federal Court in Illinois orders City Credit Capital, (UK) Ltd. to pay $140,000 civil monetary penalty for acting as unregistered retail forex dealer.
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By Press Release |
March 8, 2012
J.P. Morgan Securities LLC agrees to pay $140,000 penalty for confirming the execution of a prearranged trade on the CBOT
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By Press Release |
March 8, 2012
BlackRock Institutional Trust Co. NA agrees to pay $250,000 penalty to settle charges of prearranged trading and fictitious sales on the CBOT.
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By Press Release |
December 7, 2011
Chicago-based defendants charged with fraudulently soliciting the public to enroll in a commodity futures training program
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By Press Release |
September 22, 2011
Regulator also finds McGladrey & Pullen LLP partner David Shane must pay fine in regard to audit failure of FCM One World Capital.
