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Enforcement Press Releases
Date
Press Releases
10/12/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Swaps Calculation by Certain Foreign Entities for Purposes of the Swap Dealer and Major Swap Participant Definitions
, 6390-12
10/12/2012
CFTC Division of Swap Dealer and Intermediary Oversight Issues Letter Providing Time-Limited No-action Relief with Respect to Foreign Exchange Forwards and Foreign Exchange Swaps
, 6389-12
10/12/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter Regarding the Treatment of Agricultural and Exempt Commodities in Making Calculations for Purposes of the Swap Dealer and Major Swap Participant Definitions
, 6388-12
10/12/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Letter Regarding Scope of Bona Fide Hedging Exemption for Registered Investment Companies
, 6387-12
10/12/2012
CFTC Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the De Minimis Threshold for Swaps with Utility Special Entities
, 6386-12
10/12/2012
CFTC Office of General Counsel Issues Interpretative and No-Action Letter Regarding Eligible Contract Participant Issues
, 6385-12
10/12/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Registration No-Action Relief for Certain Swaps Intermediaries
, 6384-12
10/11/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Interpretative Guidance to Equity REITs and Certain Securitization Funds
, 6383-12
10/11/2012
CFTC Staff Preserves Regulatory Status Quo for Petitioning RTOs & ISOs, and for Government and Cooperatively-Owned Electric Utilities
, 6382-12
10/11/2012
CFTC Staff Responds to Frequently Asked Questions on the Reporting of Cleared Swaps
, 6381-12
10/10/2012
CFTC Staff Responds to Questions on Start of Swap Data Reporting
, 6380-12
10/10/2012
CFTC Orders Farr Financial Inc. to Pay $280,000 to Settle Charges of Improper Investment of Customer Segregated Funds and Supervision Failures
, 6379-12
10/05/2012
CFTC Releases Enforcement Division’s Annual Results
, 6378-12
10/04/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account
, 6377-12
10/04/2012
Federal Court in Florida Imposes $350,000 Penalty against GlobeFX Club, Inc. and Jeremy Munson Globe for Making False Statements to the National Futures Association
, 6376-12
10/03/2012
Singapore Exchange Derivatives Trading Limited’s MSCI Indonesia Index Futures Contract has been Certified and may be Offered to U.S. persons through Direct Access Effective October 2, 2012
, 6375-12
10/01/2012
Federal Court Orders Oscar Hernandez and His Companies to Pay $1.4 Million in Penalties and Bars Him from the Commodities Industry for Operating a Commodity Pool Ponzi Scheme
, 6374-12
09/28/2012
Federal Court Orders Martin B. Rosenthal to Pay $1.2 Million for Aiding and Abetting the Making of False Statements to the NFA, Failing to Register as a Commodity Trading Advisor, and Violating a Previous CFTC Order
, 6373-12
09/28/2012
CFTC Charges Boston Resident John B. Wilson and His Company with Commodity Pool Fraud
, 6372-12
09/28/2012
CFTC Designates trueEX LLC as a Contract Market
, 6371-12
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
09/26/2012
CFTC’s Division of Clearing and Risk Issues Extension of Time for Compliance from Certain Pre-Trade Screening Requirements
, 6366-12
09/26/2012
CFTC Certifies S&P 500 Index Futures Contract Submitted by the Bolsa de Valores, Mercadorias e Futuros
, 6365-12
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
09/20/2012
CFTC Approves Application of DTCC Data Repository, LLC for Provisional Registration as a Swap Data Repository
, 6355-12
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 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
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