CFTC Charges John Lawrence, Heraeus Metals New York, LLC, with Spoofing in Precious Metals Futures

US Commodity Futures Trading Commission issued two orders Monday filing and settling charges against, John Lawrence…

Merrill Lynch Ordered to Pay $300,000 Penalty for Failing to Promptly Produce Audit Trail Data

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission Tuesday issued an order filing and…

CFTC Orders Registrant, Phillip Capital, Inc to Pay $1.5 Million for Violations Related to Cyber Breach

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission Friday issued an order filing and…

Joint Statement of the CFTC and the European Commission Following Meeting on Cross-Border Derivatives Regulatory Issues

Washington, DC (STL.News) — The following statement is released following a meeting between Heath Tarbert, Chairman,…

CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing

Washington, DC (STL.News) —The U.S. Commodity Futures Trading Commission announced Friday that it is extending to…

CFTC Market Risk Advisory Committee Approves Plain English Disclosures at Public Meeting

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission’s Market Risk Advisory Committee (MRAC) approved…

CFTC Orders Interdealer Broker, Tullett Prebon Americas, Inc. to Pay $13 Million for Supervisory Failures and False Statements

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission Friday issued two orders filing and…

CFTC Orders Chief Compliance Officer of Trading Firm, Rafael Marconato, to Pay $150,000 for Fraud, False Statements

Washington, DC (STL.News) – The U.S Commodity Futures Trading Commission today issued an order filing and…

CFTC Orders Principal of Binary Options Trading Firm, Curtis Dalton, to Pay $200,000 for Illegal Off-Exchange Trading, Registration Violations

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission today issued an order filing and…

CFTC Charges Unregistered Forex Trading Firm, VOS Capital Management, LLC, Its Principal, Dominick Vincent Carducci with Fraud

CFTC files civil enforcement action against Dominick Vincent Carducci and his company VOS Capital Management, LLC…

CFTC’s Daniel Gorfine to Depart Agency

CFTC Chairman Tarbert Commits to Continue Building Agency’s Fintech Innovation Hub Washington, DC (STL.News) – The…

CFTC Orders Principal of Binary Options Trading Firm, Curtis Dalton, to Pay $200,000

CFTC Orders Principal of Binary Options Trading Firm, Curtis Dalton, to Pay $200,000 for Illegal Off-Exchange…

CFTC News: Maggie Sklar to Depart CFTC Chairman Giancarlo’s Office

Washington, DC (STL.News) — The U.S. Commodity Futures Trading Commission (CFTC) announced Maggie Sklar is leaving…

CFTC Issues Order Finding that Korea Exchange, Inc. Made a False, Misleading Certification to the CFTC

Washington, DC (STL.News) – The Commodity Futures Trading Commission (CFTC) issued an Order Friday filing and…

CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges

Washington, DC (STL.News) – The Commodity Futures Trading Commission (CFTC) Friday issued an Order filing and…

CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges

Washington, DC (STL.News) – The Commodity Futures Trading Commission (CFTC) Friday issued an Order filing and…

CFTC Issues Social Media Customer Protection Advisory

Washington, DC (STL.News) — The Commodity Futures Trading Commission (CFTC) yesterday issued, “There’s Nothing to Like…

CFTC Orders Commodity Trading Firm, Eagle Market Makers, Inc. to Pay Penalty for Wash Sales, Improve its Internal Controls

Washington, DC (STL.News) – The Commodity Futures Trading Commission (CFTC) Friday issued an Order filing and…

Commodity Futures Trading Commission (CFTC) Names Charles Cutshall as Chief Privacy Officer

Washington, DC (STL.News) — Charles Cutshall has been named Chief Privacy Officer of the Commodity Futures…

CFTC News: CFTC Approves a Final Rule to Provide Exception to Annual Privacy Notice Requirement

Washington, DC (STL.News) – The Commodity Futures Trading Commission (CFTC) Friday approved a final rule to…