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General Press Releases
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Enforcement Press Releases
Date
Press Releases
09/13/2012
CFTC Charges Florida Resident William Jeffery Chandler with Forex Fraud and Misappropriation
, 6352-12
09/11/2012
CFTC Seeks Public Comment on Request from ICE Clear Europe for Order Permitting Portfolio Margining of Futures and Foreign Futures Contracts
, 6351-12
09/11/2012
CFTC Seeks to Revoke Registrations of Linda Faye Harris and her companies, CDH Forex Investments, LLC and CDH Global Holdings, LLC
, 6350-12
09/11/2012
CFTC Meeting Scheduled for September 12, 2012, Has Been Cancelled
, 6349-12
09/10/2012
CFTC Staff Responds to Questions on Timing of Swap Dealer Registration Rules
, 6348-12
09/10/2012
CFTC Charges Lincolnshire Trading Partners, LLC. and Scott Geisinger with Registration Violations
, 6347-12
09/07/2012
CFTC Charges Nikolai S. Battoo and Four Companies He Controls with Fraud In Connection With Commodity Pools that Accepted Over $140 Million from U.S. Investors
, 6346-12
09/06/2012
Federal Court in Tennessee Orders Blue Sky Capital Management Corp. and its Principal, Gregory M. Schneider, to Pay $140,000 for Making False Statements to the National Futures Association
, 6345-12
09/05/2012
CFTC to Hold Open Meeting to Consider Proposed Rules on Enhancing Customer Protections and Final Rules on Adaptation of Existing Regulations to Incorporate Swaps
, 6344-12
08/31/2012
Federal Court in California Orders Charles Steven Goodie and His Business, CSG Commodity Service Group, to Pay Nearly $1.2 Million to Settle CFTC Commodity Pool Fraud Action
, 6343-12
08/31/2012
Federal Court in Texas Orders Christopher B. Cornett to Pay over $17 Million in Sanctions in Foreign Currency Fraud Action
, 6342-12
08/30/2012
CFTC Charges Californian Jeffrey Gustaveson with Fraud, Misappropriation, and Issuing False Statements in Commodity Pool Scheme
, 6341-12
08/29/2012
CFTC Charges Texas Resident Jonathan Hansen and His Company, J. Hansen Investments, LLC, with Commodity Pool Fraud, Misappropriation, and Commingling of Funds
, 6340-12
08/29/2012
CFTC Charges California Resident Marc Perlman and his company, iGlobal Strategic Management, LLC, with Solicitation Fraud and Misappropriation in Commodity Pool Ponzi Scheme
, 6339-12
08/28/2012
CFTC Certifies Euro STOXX 50 Ex Financials Index Futures Contract Submitted by Eurex Deutschland
, 6338-12
08/27/2012
CFTC Orders Foreign Traders SMP Bank and Epaster Investments, Ltd. to Pay $980,000 for Engaging in a Wash Sale Scheme in the CME’s Japanese Yen Options Contract
, 6337-12
08/27/2012
CFTC Issues Final Rules Establishing Swap Dealer and Major Swap Participant Requirements for Swap Trading Relationship Documentation, Swap Confirmation, Reconciliation and Compression of Swap Portfolios
, 6336-12
08/24/2012
CFTC Seeks to Revoke Registration of Growth Capital Management LLC Based on CFTC Anti-Fraud Action
, 6335-12
08/23/2012
CFTC Approves Conforming Amendments to Part 4 Regulations Governing Operations and Activities of Commodity Pool Operators and Commodity Trading Advisors
, 6334-12
08/23/2012
CFTC Charges Illinois Resident Donald A. Newell and his Company, Quiddity, LLC, with Running a Fraudulent Allocation Scheme, Making Material False Statements to the CFTC, and Recordkeeping Violations
, 6333-12
08/21/2012
CFTC Issues Proposed Order to Exempt Certain Specified Transactions of Regional Transmission Organizations and Independent System Operators
, 6332-12
08/21/2012
CFTC Announces Website for Market Participants to Register for CFTC Interim Compliant Identifiers (CICI)
, 6331-12
08/17/2012
CFTC Issues Proposed Order to Exempt Certain Non-Financial Energy Derivative Transactions Between Government-Owned Electric Utilities and Cooperatively-Owned Electric Utilities
, 6330-12
08/17/2012
CFTC Approves Conforming Rule on Registration of Intermediaries
, 6329-12
08/16/2012
CFTC Proposes Inter-Affiliate Clearing Exemption
, 6328-12
08/15/2012
CFTC Staff Grants Temporary No-Action Relief to Persons Eligible for the Trade Option Exemption
, 6327-12
08/14/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Responds to Questions Regarding Recent Amendments to Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors
, 6326-12
08/13/2012
CFTC Settles Action against Douglas Elsworth Wilson and Three California Companies for Solicitation Fraud, Misappropriating Customer Funds, and Issuing False Statements in Commodity Futures and Forex Scheme
, 6325-12
08/13/2012
CFTC Charges Colorado Resident Michael Bruce Gale with Commodity Pool Fraud
, 6324-12
08/08/2012
CFTC Requests Public Comment on Cantor Clearinghouse, LP Petition to Amend its Order of Registration as a Derivatives Clearing Organization
, 6323-12
08/02/2012
CFTC Staff to Host a Public Roundtable to Discuss Additional Customer Protections
, 6322-12
07/30/2012
Federal Court in Idaho Orders Michael Justin Hoopes to Pay over $11.8 Million for Operating a Ponzi Scheme
, 6321-12
07/30/2012
CFTC Charges California Resident Victor Yu and His Company, VFRS, LLC, with Multi-Million Dollar Forex Fraud and Failure to Register as a Commodity Trading Advisor
, 6320-12
07/26/2012
CFTC Requests Public Comment on an Application by LCH.Clearnet SA for Registration as a Derivatives Clearing Organization
, 6319-12
07/26/2012
CFTC Suspends Registrations of Chicago Mercantile Exchange Traders Christopher Foufas, William Kerstein, and Maksim Baron for Unlawful S&P 500 Trading
, 6318-12
07/25/2012
CFTC Orders Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay $700,000 for Large Trader Reporting and Supervision Violations
, 6317-12
07/25/2012
Public Meeting of the Technology Advisory Committee to be Held Tomorrow
, 6316-12
07/25/2012
CFTC Charges Florida Residents Philip Leon, Paul Rangel, and John Wilkins and Their Company, Altamont Global Partners LLC, with Fraud and Misappropriation
, 6315-12
07/24/2012
CFTC’s Division of Market Oversight Issues Temporary No-Action Relief from the Aggregation Requirements of the Commission’s Rule Regarding Position Limits for Futures and Swaps
, 6314-12
07/24/2012
CFTC Seeks to Revoke Registrations of Brian Kim and his Company, Liquid Capital Management, LLC
, 6313-12
07/24/2012
CFTC Approves Regulations to Phase in Compliance with Clearing Requirements of the Dodd-Frank Act
, 6312-12
07/24/2012
CFTC Proposes Clearing Determination for Certain Credit Default Swaps and Interest Rate Swaps
, 6311-12
07/24/2012
CFTC Announces Designation of DTCC-SWIFT as the Provider of CFTC Interim Compliant Identifiers
, 6310-12
07/20/2012
CFTC Certifies Euro STOXX 50 Volatility Index Mini Futures Contract Submitted by Eurex Deutschland
, 6309-12
07/18/2012
CFTC Orders LMC Asset Management, Inc. to Pay $140,000 Civil Penalty for Forex Registration Violations
, 6308-12
07/18/2012
Federal Court in Missouri Orders Randall L. Stuckey and His Business Entities to Pay a $250,000 Penalty to Settle CFTC Forex Futures Fraud Action
, 6307-12
07/18/2012
CFTC’s Division of Market Oversight Issues Temporary No-Action Relief to Non-Clearing Swap Dealers to Comply with Large Trader Reporting Requirements for Physical Commodity Swaps and Swaptions
, 6306-12
07/17/2012
CFTC Announces Public Meeting of the Technology Advisory Committee
, 6305-12
07/16/2012
Federal Court in California Orders Las Vegas Resident Gordon A. Driver and His Companies to Pay over $41 Million in Restitution and Penalties in Commodity Pool Ponzi Scheme
, 6304-12
07/13/2012
CFTC Approves New Financial Rules Submitted by the National Futures Association to Strengthen the Protection of Customer Funds Held by Futures Commission Merchants
, 6303-12
07/13/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief to Certain CPOs and CTAs to Meet Registration and Compliance Obligations
, 6302-12
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