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By Press Release |
June 30, 2011
Federal court issues order freezing the assets of Colorado-based Flint-McClung Capital LLC.
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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 |
May 16, 2011
Federal court issues order freezing defendants’ assets and protecting books and records.
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By Press Release |
May 2, 2011
CFTC sanctioned N.Y. resident Howard Winell and his companies, Winell Associates, Inc., and Maxie Partners GP, LLC, more than $5.2 million for fraud
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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 |
February 3, 2011
The CFTC sanctioned Northstar International Group $11M to settle anti-fraud charges
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By Press Release |
October 8, 2010
Defendants allegedly accepted millions of dollars from individuals, paying existing investors with proceeds from later clients.
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By Press Release |
August 16, 2010
The firm allegedly caused a non-bona fide price to be reported in the Nymex crude oil futures contract.
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By News Story |
February 24, 2010
Basel-based UBS AG is charged with unlawfully exceeding NYMEX position limits on natural gas, heating oil and platinum futures contracts.
