CFTC Charges Unregistered Commodity Pool Operator, Main & Prospect Capital, LLC, Two California Men with $2.3 Million Fraud

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission announced today that it filed a civil…

CFTC Orders Wells Fargo to Pay Over $14 Million for Violating Swap Dealer Business Conduct Standards

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

CFTC Orders Mitsubishi Corporation RtM Japan Ltd. to Pay $500,000 for Spoofing

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

U.S. Financial Regulatory Agencies Join the Global Financial Innovation Network

(STL.News) – The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the…

CFTC Announces Agenda for 2nd Annual Fintech Forward Conference

(STL.News) – The U.S. Commodity Futures Trading Commission today announced the agenda for its second annual…

CFTC Charges Circle Society, Corp and its Owner, David Gilbert Saffron in $11 Million Cryptocurrency Fraud, Misappropriation Scheme

Washington, DC (STL.News) The U.S. Commodity Futures Trading Commission today announced the filing of a civil…

CFTC to Hold an Open Commission Meeting on October 16

Washington, DC (STL.News) U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC…

Federal Agencies Finalize Changes to Simplify Volcker Rule

Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation…

U.S. Commodity Futures Trading Commission Chairman Tarbert Announces New LabCFTC Director

Washington, DC (STL.News) – U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the…

CFTC Orders Morgan Stanley Capital Group Inc. to Pay $1.5 Million for Spoofing in the Precious Metals Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Chicago Trading Firm Belvedere Trading LLC to Pay $1.1 Million for Spoofing in the Financial Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Trading Firm Mitsubishi International Corporation to Pay $400,000 for Spoofing in the Precious Metals Futures Markets

Washington, DC (STL.News) – The CFTC on Monday, September 30, 2019 issued an order filing and…

CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission today announced that civil enforcement actions…

CFTC Charges Former Registrant, Rafael Novales, with Making False, Misleading Statements During a CFTC Investigation

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

CFTC Announces Approximately $7 Million Whistleblower Award

Washington, DC (STL.News) – The U.S. Commodity Futures Trading Commission today announced it will award approximately…

CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting Violations

Washington, DC (STL.News) — The U.S. Commodity Futures Trading Commission announced today that an order filing…

CFTC Unanimously Approves Two Measures in September 16 Open Meeting

Washington, DC (STL.News) — At an open meeting Thursday, the U.S. Commodity Futures Trading Commission voted…

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…