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Press Room Archive
Date
Enforcement Press Releases
09/27/2012
CFTC Charges iFinix Futures, Inc. and Its Senior Executive Officer, Connecticut Resident Benhope Marlon Munroe, with Making False Statements to the National Futures Association and Failing to Meet Minimum Financial Requirements
, 6370-12
09/27/2012
CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil Monetary Penalty for Violating Cotton Futures Speculative Position Limits
, 6369-12
09/27/2012
Florida Federal Court Orders Claudio Aliaga and His Company, CMA Capital Management, LLC, to Pay $5.5 Million in Penalties and Restitution for Operating a Forex Ponzi Scheme
, 6368-12
09/27/2012
CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay $350,000 Penalty for Violating Wheat and Cotton Futures Speculative Position Limits
, 6367-12
09/25/2012
CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures
, 6364-12
09/25/2012
CFTC Seeks to Revoke Registrations of Nevada Resident Gordon A. Driver and his Company, Axcess Fund Management LLC
, 6363-12
09/25/2012
CFTC Charges Wisconsin Resident Eric N. Schmickle and His Company, Q Wealth Management Inc., with Operating a $5.3 Million Commodity Futures Fraud
, 6362-12
09/25/2012
CFTC Seeks to Revoke Registrations of Victor E. Cilli and his Company Progressive Investment Funds, LLC
, 6361-12
09/21/2012
CFTC Sanctions York Business Associates LLC d/b/a TransAct Futures, a Registered Futures Commission Merchant, $199,000 for Supervision Failures in Handling a Customer Account
, 6360-12
09/21/2012
CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations
, 6359-12
09/21/2012
CFTC Orders Citigroup Inc. and Citigroup Global Markets Ltd. to Pay $525,000 Penalty for Violating Wheat Futures Speculative Position Limits
, 6358-12
09/21/2012
CFTC Obtains Default Judgment and Permanent Injunction Order against ProfitStars Intl, Corp. and Ulysis Starling for Engaging in a Business that Operated as a Deceit and Violating a Regulatory Disclosure Requirement
, 6357-12
09/21/2012
CFTC Seeks to Revoke the Commodity Trading Advisor Registration of Pro Trading Course, LLC
, 6356-12
09/19/2012
CFTC Charges Grahame Rhodes of Missouri with Fraud, Misappropriation, and Commingling Funds in Multi-Million Dollar Commodity Pool Ponzi Scheme
, 6354-12
09/19/2012
CFTC Charges Australian Resident Senen Pousa, U.S. Resident Joel Friant, and Their Company, Investment Intelligence Corp., with Operating a Fraudulent $53 Million Worldwide Off-Exchange Forex Scheme; Michael Dillard and Elevation Group Also Charged
, 6353-12
09/13/2012
CFTC Charges Florida Resident William Jeffery Chandler with Forex Fraud and Misappropriation
, 6352-12
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
09/10/2012
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
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
08/27/2012
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
08/24/2012
CFTC Seeks to Revoke Registration of Growth Capital Management LLC Based on CFTC Anti-Fraud Action
, 6335-12
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
08/13/2012
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
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 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
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 Seeks to Revoke Registrations of Brian Kim and his Company, Liquid Capital Management, LLC
, 6313-12
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
07/16/2012
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
07/11/2012
CFTC Charges Houston-based Christopher Daley and his company, TC Credit Service, LLC, with Solicitation Fraud and Misappropriation in $1.4 Million Dollar Commodity Pool Scheme
, 6301-12
07/10/2012
CFTC Files Complaint Against Peregrine Financial Group, Inc. and Russell R. Wasendorf, Sr. Alleging Fraud, Misappropriation of Customer Funds, Violation of Customer Fund Segregation Laws, and Making False Statements
, 6300-12
07/09/2012
Federal Court in Texas Orders Robert Mihailovich, Sr. and Growth Capital Management LLC to Pay over $9.3 Million in CFTC Anti-fraud Action
, 6299-12
06/28/2012
CFTC Obtains Default Judgment against The Trade Tech Institute, Inc., Technology Trading International, Inc., and Robert Sorchini for Fraudulent Solicitation of Managed Commodity Trading Accounts and Obtains Consent Judgment against Richard Carter as Cont
, 6290-12
06/27/2012
CFTC Orders Barclays to pay $200 Million Penalty for Attempted Manipulation of and False Reporting concerning LIBOR and Euribor Benchmark Interest Rates
, 6289-12
06/26/2012
Federal Court in Florida Orders Over $2.5 Million in Sanctions against Abraham Gutterman and His Companies for Commodity Options Fraud and Misappropriation
, 6288-12
06/21/2012
Federal Court in Texas Orders Linda Harris, Chance Harris, CDH Forex Investments, LLC, and CDH Global Holdings, LLC, to Pay over $5.4 Million in Restitution and a Monetary Sanction for Forex Fraud
, 6286-12
06/14/2012
Federal Court in Illinois Orders Defendants Richard C. Regan and Pro Trading Course, LLC to Pay More than $600,000 in Restitution and Civil Monetary Penalties to Settle CFTC Anti-Fraud Action
, 6280-12
06/13/2012
CFTC Settles Charges against Defendant Robert Mihailovich, Jr. for Making False Statements to the CFTC
, 6279-12
06/07/2012
CFTC Charges Jose S. Rubio and his Florida firm, Rubio Wealth Management, LLC, with Commodity Pool Fraud
, 6277-12
06/07/2012
CFTC Orders Futures Commission Merchant Open E Cry, LLC to Pay $250,000 to Settle Failure to Supervise Charges
, 6276-12
06/06/2012
CFTC Charges Ronnie Gene Wilson of South Carolina and His Company, Atlantic Bullion & Coin, Inc., with Operating a $90 Million Silver Bullion Ponzi Scheme
, 6275-12
06/06/2012
CFTC Orders Nevada Resident Luis Salazar-Correa and His Company, Prosperity Team, LLC, to Pay More than $2.6 Million to Settle CFTC Anti-fraud Forex Action
, 6273-12
06/05/2012
CFTC Orders Morgan Stanley & Co. LLC to Pay $5 Million Civil Monetary Penalty for Unlawful Noncompetitive Trades
, 6270-12
05/31/2012
Federal Court in Georgia Orders over $10 Million in Sanctions against Defendant Eldon A. Gresham in Forex Ponzi Scheme
, 6268-12
05/30/2012
Federal Court in New Jersey Orders Victor Eugene Cilli and His Company, Progressive Investment Funds LLC, to Pay over $700,000 in Restitution and Penalty in Commodity Pool Ponzi Scheme
, 6267-12
05/25/2012
CFTC Charges CTI Group, LLC, Cooper Trading, Stephen Craig Symons, and James David Kline, all of California, with an $11 Million Fraud in the Sale of Automated Trading Systems
, 6266-12
05/25/2012
CFTC Charges Washington, DC, Resident Marina Bühler-Miko and Her Company, Coventry Asset Managers, LLC, with Operating Fraudulent Forex Scheme
, 6265-12
05/24/2012
CFTC Charges Chicago-based Trader Bradley Schiller with $7.8 Million Commodity Fraud
, 6262-12
05/23/2012
Federal Court in New York Orders Chicago Resident and Former Floor Broker, Kent R.E. Whitney, to Pay $600,000 for Margin Call Avoidance Scheme
, 6261-12
05/16/2012
Federal Court in South Carolina Orders Ronald E. Satterfield and Nicholas and Patricia Bos to Pay over $7.5 Million for Fraud in Connection with a Forex Ponzi Scheme
, 6258-12
05/14/2012
CFTC Orders ACI Capital Group, L.L.C. and Alexandre P. Guimaraes to Pay Approximately $850,000 in Restitution and Penalty to Settle Forex Fraud Charges
, 6257-12
05/11/2012
CFTC Charges Michael J. Leighton of Torrance, Calif., with $1.6 Million Commodity Pool Fraud
, 6256-12
05/09/2012
CFTC Charges New York Firm Madison Dean, Inc., and its Principals, George Athanasatos and Laurence Dodge, with Forex Fraud
, 6254-12
05/08/2012
CFTC Obtains Default Judgment against Former Florida Resident Juvenal E. Machado and His Company, Invers Forex, LLC, for Off-Exchange Forex Scam
, 6253-12
05/03/2012
Federal Court in New York Orders Thomas Qualls and His Company, International Foreign Currency, to Pay More than $4.6 Million in Restitution and Penalties in Connection with Off-Exchange Forex Futures Fraud
, 6251-12
05/03/2012
CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation
, 6250-12
05/03/2012
CFTC Charges Illinois Resident Dimitry Vishnevetsky and His Company, Oxford Capital, LLC, with Commodity Pool Fraud
, 6249-12
05/01/2012
Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer
, 6248-12
05/01/2012
CFTC Charges Sidney J. Charles, Jr. and his Maryland-based Company, The Borrowing Station, LLC, in Forex Ponzi Scheme
, 6247-12
04/26/2012
Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc.
, 6245-12
04/26/2012
CFTC Orders Texas-based PassThrough Investments, LLC, and its Principals, Stephen Brantley and Dwayne Bryant Dawson, to Pay over $1.1 Million in Sanctions to Settle CFTC Charges of Fraud in Operating a Forex Trading Pool
, 6244-12
04/26/2012
CFTC Settles Action against Florida Resident Ghassan Tawachi for Fraud and Misappropriation
, 6243-12
04/25/2012
CFTC Charges Georgia Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and Misappropriation
, 6242-12
04/23/2012
Federal Court in California Orders Forex Liquidity LLC to Pay $400,000 for Failing to Maintain Required Net Capital and Books and Records
, 6240-12
04/19/2012
Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts and Making False Statements
, 6239-12
04/18/2012
Federal Court Orders Colorado Defendants Flint-McClung Capital LLC and Shawon McClung to Pay over $6 Million in CFTC Action Charging Them with Running Forex Ponzi Scheme
, 6236-12
04/18/2012
Virginia Federal Court Orders Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, to Pay More than $3 Million in Forex Ponzi Scheme
, 6235-12
04/13/2012
CFTC Revokes Registration of Robert Wayne Mansell
, 6231-12
04/12/2012
CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production Violations
, 6230-12
04/12/2012
CFTC Charges Brad Lee Demuzio of Idaho and his Company, Demuzio Capital Management, with Operating a Fraudulent $1.8 Million Commodity Pool and Forex Ponzi Scheme
, 6229-12
04/09/2012
Federal Court in Texas Orders Total Call Group, Inc. and its Principals to Pay over $4.8 Million in Fines for Making False Representations and Issuing False Account Statements in Forex Fraud
, 6227-12
04/04/2012
CFTC Orders JPMorgan Chase Bank, N.A. to Pay a $20 Million Civil Monetary Penalty to Settle CFTC Charges of Unlawfully Handling Customer Segregated Funds
, 6225-12
04/02/2012
CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme
, 6223-12
03/28/2012
CFTC Seeks to Revoke the Registrations of Illinois Resident Joseph A. Dawson and His Company, Strategic Research LLC
, 6222-12
03/26/2012
Federal Court in Puerto Rico Orders Angel F. Collazo and ACJ Capital, Inc. to Pay over $3.7 Million for Solicitation Fraud and Issuing False Statements in an Off-Exchange Foreign Currency Scheme
, 6218-12
03/21/2012
CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action
, 6214-12
03/20/2012
CFTC Charges Florida Resident Abraham Gutterman and His Companies, Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC with Commodity Gold and Oil Options Fraud and Misappropriation
, 6213-12
03/14/2012
CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices
, 6210-12
03/13/2012
CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer Montgomery, and Brian Reynolds with Commodity Pool Fraud
, 6207-12
03/13/2012
CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried
, 6206-12
03/13/2012
CFTC Orders Chicago Futures Commission Merchant FCStone, LLC and New York Introducing Broker Commodity Operations Inc. to Pay $260,000 for Supervision Violations
, 6205-12
03/13/2012
CFTC Charges MBF Clearing Corp. with Violations of Customer Fund Segregation Requirements
, 6204-12
03/12/2012
CFTC Charges Florida Firm Angus Jackson, Inc. and its CFO Martin H. Bedick with Making False, Fictitious, or Fraudulent Statements to the NFA
, 6203-12
03/12/2012
Federal Court in Illinois Orders City Credit Capital, (UK) Ltd. to Pay $140,000 Civil Monetary Penalty for Acting as Unregistered Retail Forex Dealer
, 6202-12
03/09/2012
CFTC Charges Illinois Resident Christopher Varlesi with Commodity Pool Fraud, Misappropriation, False Statements, and Failure to Register
, 6199-12
03/08/2012
J.P. Morgan Securities LLC Agrees to Pay $140,000 Penalty for Confirming the Execution of a Prearranged Trade on the CBOT
, 6198-12
03/08/2012
BlackRock Institutional Trust Co. NA Agrees to Pay $250,000 Penalty to Settle Charges of Prearranged Trading and Fictitious Sales on the CBOT
, 6197-12
03/07/2012
Federal Court in Illinois Orders Windsor Brokers, Ltd. of Cyprus to Pay $140,000 Civil Monetary Penalty, Cease Soliciting U.S. Customers, and Modify Website
, 6196-12
03/07/2012
CFTC Charges Alabama Resident John David Stroud and His Companies with Commodity Pool Fraud and Misappropriation
, 6195-12
02/29/2012
Federal Court in Illinois Orders Australian Firm Enfinium Pty Ltd to Pay $80,000 Penalty, Cease Soliciting U.S. Customers, and Modify Website
, 6194-12
02/28/2012
CFTC Charges IAG Capital Management, LLC and William Patrick Kelly, of Conn., with Commodity Pool Fraud, Commingling Pool Funds, and Making False Statements to the NFA
, 6193-12
02/27/2012
CFTC Charges Alexander Giap of Annandale, Va., with Fraud by an Unregistered Commodity Trading Advisor
, 6191-12
02/27/2012
CFTC Orders James G. Brandolino to Pay $1 Million Penalty to Settle CFTC Charges of Commodity Futures Fraud
, 6190-12
02/27/2012
Federal Court in Illinois Orders Former Futures Trader David Sklena to Pay over $6.6 Million for Cheating Customers
, 6189-12
02/23/2012
CFTC Orders Iowa Resident Jeffrey J. Kinseth and His Company, Virtual Vision Inc., to Pay More than $1 Million in Restitution and Penalties in Fraud Action
, 6187-12
02/22/2012
CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay $140,000 Penalty for Violating Soybean and Corn Futures Speculative Position Limits
, 6186-12
02/22/2012
CFTC Settles Action against Aaron Klein for Failing to Disclose He Was a Registrant’s Principal
, 6185-12
02/17/2012
CFTC Charges Mitchell Brian Huffman of North Carolina with Operating a Fraudulent $3.2 Million Commodity Pool Scheme
, 6183-12
02/16/2012
Federal Court Orders Texas Resident Robert D. Watson to Pay $31 Million for Defrauding Customers, Misappropriating Millions of Dollars, and Providing Fictitious Records in Forex Scheme
, 6181-12
02/15/2012
CFTC Charges Puerto Rico Resident Angel F. Collazo and his Companies, ACJ Capital Inc. and Solid View Capital LLC, in Forex Fraud Ponzi Scheme
, 6180-12
02/15/2012
Georgia Federal Court Enters Order for Permanent Injunction against Joseph L. Autry, Jr. and His Company, Autry Capital Management LLC, for Commodity Fraud
, 6179-12
02/09/2012
CFTC Obtains Permanent Injunction against British Virgin Island Firm InterForex, Inc. for Acting as an Unregistered Retail Forex Dealer; Firm Ordered to Modify Website
, 6177-12
02/08/2012
CFTC Charges Texas Resident Christopher B. Cornett in Foreign Currency Fraud Action
, 6175-12
02/02/2012
Arizona Federal Court Orders Anthony Eugene Linton to Pay More Than $1.7 Million for Operating Ponzi Scheme
, 6174-12
01/31/2012
CFTC Issues Consumer Advisory Alerting Public to Possible Precious Metals Fraud
, 6172-12
01/23/2012
CFTC Orders Conn. Resident Timothy Michael Murphy and His Company, Centurion Global Capital Management LLC, to Pay $360,000 for Commodity Pool Solicitation Fraud
, 6169-12
01/12/2012
CFTC Files Enforcement Action against Two Indian Citizens for Allegedly Engaging in an Illegal Trading Scheme
, 6168-12
01/09/2012
CFTC Orders Newedge USA, LLC, a Registered Futures Commission Merchant, to Pay $700,000 for Submitting Inaccurate Large Trader Reports to the CFTC and for Violating a Prior CFTC Order
, 6167-12
01/05/2012
Federal Court Orders CFTC Defendant Larry Benny Groover to Pay $2.69 Million for Defrauding Customers in Forex Ponzi Scheme
, 6165-12
01/05/2012
Illinois Federal Court Imposes $140,000 Civil Monetary Penalty on Foreign Currency Firm, FXOpen Investments Inc., for Acting as an Unregistered Retail Foreign Exchange Dealer
, 6164-12
See Also:
CFTC's Commitment to Open Government
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Comment on Pending Rules and Filings
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