CFTC Strengthens Anti-Retaliation Protections for Whistleblowers and Enhances...
The U.S. Commodity Futures Trading Commission (CFTC) unanimously approved amendments to the CFTCâs Whistleblower Rules that will, among other things, strengthen the CFTCâs anti-retaliation...
View ArticleFederal Court Orders Utah Resident Kimball Parker and MakeYourFuture, LLC to...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the District of Utah entered a Consent Order against Defendants Kimball Parker of Lehi, Utah, and his...
View ArticleFederal Court Orders More than $1 Million in Restitution and Civil Monetary...
The U.S. Commodity Futures Trading Commission (CFTC) obtained a Consent Order against Guardian Asset Group, LLC, of West Palm Beach, Florida, and its owner and principal, Andrew Kurzbard, finding that...
View ArticleFederal Court in Florida Orders K.B. Concepts Group, LLC and Kelvin Burgos to...
The U.S. Commodity Futures Trading Commission (CFTC) obtained a final Default Judgment Order against Defendants Kelvin Burgos and his company K.B. Concepts Group, LLC d/b/a Apex Asset Advisors, LLC for...
View ArticleCFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against David Liew for engaging in numerous acts of spoofing, attempted manipulation, and, at times,...
View ArticleCFTC Charges Estonian Company Tallinex with Fraud and Failure to Register as...
The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of a civil enforcement action in the U.S. District Court for the District of Utah against Tallinex a/k/a Tallinex Limited, of...
View ArticleCFTC Charges Seattle Residents Sung Hong a/k/a Lawrence or Laurence Hong,...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the Western District of Washington entered a Statutory Restraining Order against Defendants Sung Hong...
View ArticleFederal Court Orders Florida-Based North American Asset Management, LLC,...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Jose E. Martinez of the U.S. District Court for the Southern District of Florida entered a Consent Order against North American...
View ArticleCFTC Order Finds that McVean Trading & Investments, LLC; Charles Dow...
The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and simultaneously settling charges against McVean Trading & Investments, LLC, a Memphis-based FCM; its Chairman and...
View ArticleCFTC Charges New Jersey Resident Michael S. Wright and New York Firm Wright...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Michael S. Wright, of Jersey City, New...
View ArticleFederal Court in New York Imposes Permanent Registration and Trading Bans...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the Southern District of New York entered an Opinion and Order against Defendants Gary Creagh and Wall...
View ArticleCFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Huafu HK Co. Ltd., a corporation based in Hong Kong, for failing to file CFTC Form 304 reports,...
View ArticleFederal Court in North Carolina Orders Tracy Lee Thomas and His Company,...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the Middle District of North Carolina entered an Order of Final Judgment by Default against Defendants...
View ArticleCFTC Enters into Non-Prosecution Agreements with Former Citigroup Global...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it entered into non-prosecution agreements with Jeremy Lao (Lao) of New York, New York, Daniel Liao (Liao) of Minato-Ku, Japan,...
View ArticleCFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading...
The U.S. Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Rosenthal Collins Capital Markets, LLC, now known as DV Trading LLC, of Chicago, Illinois, for...
View ArticleCFTC Charges New York Resident Daniel Winston LaMarco and His Company,...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York against Defendants Daniel Winston LaMarco and his...
View ArticleFederal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. District Court for the Middle District of Florida entered an Order of Final Judgment by Default...
View ArticleCFTCâs Market Risk Advisory Committee to Meet on June 20, 2017
The U.S. Commodity Futures Trading Commissionâs (Commission) Market Risk Advisory Committee (MRAC) will hold a public meeting on June 20, 2017 at the CFTC's Washington, DC, headquarters.
View ArticleCFTC Unanimously Approves Revisions to Delegated Authorities and Technical...
The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved a Final Rule on Revisions to Commission Delegated Authority Provisions and Technical Amendments (Final Rule).
View ArticleCFTC Issues Order of Registration to the Dubai Mercantile Exchange to Permit...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration (Order) to Dubai Mercantile Exchange Limited (DME), a Foreign Board of Trade (FBOT)...
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