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Enforcement Press Releases
Date
Press Releases
02/13/2013
Federal Court in Nebraska Orders Omaha Resident Michael J. Welke to Pay $387,000 to Settle Commodity Pool Fraud Charges
, 6516-13
02/12/2013
Federal Court in Texas Orders Jonathan Hansen and His Company, J. Hansen Investments, LLC, to Pay over $1.3 Million to Settle Commodity Pool Fraud Action
, 6515-13
02/11/2013
CFTC Approves Amendment to Cantor Clearinghouse, L.P., Registration Order
, 6514-13
02/11/2013
CFTC Charges South Carolina Resident Robert Stanley Harrison with Commodity Pool Fraud
, 6513-13
02/08/2013
CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges
, 6512-13
02/06/2013
Federal Court in Texas Orders Rodney Wagner and Roger Wagner, and their company GID Group, Inc., to Pay Over $2.4 Million for Fraud in Foreign Currency (Forex) Ponzi Scheme
, 6511-13
02/06/2013
CFTC Orders The Royal Bank of Scotland plc and RBS Securities Japan Limited to Pay $325 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation, and False Reporting of Yen and Swiss Franc LIBOR
, 6510-13
02/05/2013
CFTC Seeks Public Comment on the Request of trueEX LLC for an Amended DCM Order to Allow Intermediated Trading on its Platform
, 6509-13
02/05/2013
CFTC Sues Australian Company, Halifax Investment Services, Ltd., for Unlawfully Soliciting U.S. Customers
, 6508-13
02/04/2013
Federal Court in Florida Imposes over $22.8 Million in a Monetary Sanction and Restitution against Floridian David Merrick and His Company, Trader’s International Return Network
, 6507-13
02/01/2013
Federal Court Imposes over $2.8 Million in Sanctions against Florida Resident Martin H. Bedick and His Company, Angus Jackson, Inc., for Making False Statements
, 6506-13
01/29/2013
CFTC Staff to Host a Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded Customers and Funds Deposited by Customers
, 6505-13
01/28/2013
CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud
, 6504-13
01/28/2013
CFTC Charges Four Florida-based Precious Metals Firms and Three Individuals for Engaging in Illegal Retail Off-Exchange Transactions in Precious Metals
, 6503-13
01/24/2013
Commissioner Jill Sommers Announces her Resignation
, 6502-13
01/23/2013
CFTC Approves Rulebook and Issues Amended Registration Order for LCH.Clearnet LLC
, 6501-13
01/18/2013
CFTC Staff to Host Public Roundtable to Discuss the “Futurization of Swaps”
, 6500-13
01/18/2013
CFTC Obtains Default Judgment against Lincolnshire Trading Partners, LLC and Scott Geisinger for Violating CFTC Registration Requirements
, 6499-13
01/18/2013
CFTC Extending Review Period on a Request from the Chicago Mercantile Exchange Inc. to Adopt New Chapter 10 (“Regulatory Reporting of Swap Data”) and New Rule 1001 (“Regulatory Reporting of Swap Data”) of CME’s Rulebook
, 6498-13
01/16/2013
Pro Trading Course LLC’s Commodity Trading Advisor Registration Revoked
, 6497-13
01/15/2013
Federal Court in Nevada Orders Charles Leroy Timberlake and Trans Global Investments, LLC to Pay $340,000 to Settle Commodity Pool Fraud Charges
, 6496-13
01/14/2013
CFTC Grants Order to ICE Clear Credit Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Cleared Swaps Customer Account
, 6495-13
01/14/2013
CFTC Announces Appointment of Melissa Jurgens to Serve as Secretary of the Commission
, 6494-13
01/11/2013
CFTC Extends Public Comment Period on Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Future Commission Merchants and Derivatives Clearing Organizations
, 6493-13
01/07/2013
CFTC Extending Period for Accepting Public Comment on a CME Request to Adopt New Chapter 10 and New Rule 1001 of CME’s Rulebook
, 6492-13
01/03/2013
CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures
, 6491-13
01/02/2013
Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations
, 6490-13
01/02/2013
CFTC Announces Real-Time Public Reporting of Swap Transactions and Swap Dealer Registration Began December 31, 2012
, 6489-13
12/31/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Further No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition
, 6488-12
12/31/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Registration Relief to Certain Introducing Brokers and Commodity Trading Advisors Involved in Swaps Activities
, 6487-12
12/31/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief to Certain Associated Persons
, 6486-12
12/21/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant to Recent Changes to Commission Regulations
, 6485-12
12/21/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Operators of Investment Pools that Invest in Legacy Securitization Vehicles
, 6484-12
12/21/2012
CFTC’s Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief
, 6483-12
12/21/2012
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Reporting of Certain Non-Reporting Counterparty Information Pursuant to Parts 45 and 46
, 6482-12
12/21/2012
CFTC’s Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps
, 6481-12
12/21/2012
CFTC’s Division of Clearing and Risk Issues No-Action Letter for Singapore Exchange Derivatives Clearing Limited and its Clearing Members
, 6480-12
12/21/2012
CFTC’s Division of Market Oversight Provides Additional Information Concerning its Existing No-Action Relief (CFTC Letter No. 12-46) for Reporting Parties Regarding Legal Entity Identifiers and Certain Identifying Information
, 6479-12
12/21/2012
CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank
, 6478-12
12/21/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition
, 6477-12
12/20/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition
, 6476-12
12/19/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio
, 6475-12
12/19/2012
CFTC Settles Charges against Virginia Resident Alexander Giap for Engaging in Two Fraudulent Commodity Futures Trading Schemes
, 6474-12
12/19/2012
CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From the Reporting Provisions of Part 45 for CDS Clearing-Related Swaps
, 6473-12
12/19/2012
CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates
, 6472-12
12/18/2012
CFTC Releases Rule Enforcement Review of ICE Futures US
, 6471-12
12/18/2012
CFTC Issues Interim Final Rules Regarding Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants
, 6470-12
12/18/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter on the Obligation of Swap Dealers and Major Swap Participants to Provide the Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps
, 6469-12
12/18/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions on Natural Gas Exchange for Purposes of Making Calculations Under the Swap Dealer Definition
, 6468-12
12/18/2012
CFTC’s Division of Clearing and Risk Issues No-Action Letter for Japan Securities Clearing Corporation and its Clearing Participants
, 6467-12
12/17/2012
CFTC’s Division of Market Oversight Issues Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations
, 6466-12
12/17/2012
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from Parts 43 and 45 Reporting for Prime Brokerage Transactions, and Reporting of Unique Swap Identifiers in Related Trades under Part 45 by Prime Brokers
, 6465-12
12/17/2012
CFTC Approves Final Rule on Adaptation of Regulations to Incorporate Swaps – Records of Transactions
, 6464-12
12/14/2012
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers
, 6463-12
12/14/2012
CFTC’s Division of Market Oversight Issues No-Action Letter Addressing Timeline for Swap Dealer Compliance with Large Swap Trader Reporting Rules
, 6462-12
12/13/2012
CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Post-Allocation Swap Timing Requirement of § 45.3(e)(ii)(A) of the Commission’s Regulations
, 6461-12
12/13/2012
CFTC Charges Calif. Company Arista LLC and Calif. Residents Abdul Sultan Walji and Reniero Francisco with Fraud in Operating $9.5 Million Commodity Pool
, 6460-12
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