News & Events
Font Size: AAA // Print // Bookmark

Press Releases

All // General Press Releases // Enforcement Press Releases // Press Room Archive
Date
Press Releases
01/23/2017
CFTC Extends Public Comment Period for the Supplemental Proposal for Regulation Automated Trading, 7520-17
01/20/2017
CFTC Names J. Christopher Giancarlo Acting Chairman, 7519-17
01/19/2017
CFTC’s Enforcement Division Issues New Advisories on Cooperation, 7518-17
01/19/2017
Enforcement Director Aitan Goelman to Leave CFTC , 7517-17
01/19/2017
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures, 7516-17
01/17/2017
CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations, 7515-17
01/13/2017
CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps, 7514-17
01/13/2017
CFTC Unanimously Approves Proposals on Swaps Data and Other Amendments, 7513-17
01/12/2017
CFTC Unanimously Approves Proposal to Amend Recordkeeping Requirements, 7510-17
01/11/2017
CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures, 7511-17
01/11/2017
CFTC Issues Order of Registration for ICE Endex Markets B.V. to Permit Trading by Direct Access from the U.S., 7510-17
01/09/2017
Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme, 7509-17
01/05/2017
Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for his Role in MF Global’s Unlawful Use of Nearly $1 Billion of Customer Funds and Prohibits Corzine from Registering with the CFTC in any Capacity or Associating with an FCM, 7508-17
01/03/2017
CFTC Chairman Timothy Massad Announces Resignation as Chairman , 7507-17
12/28/2016
CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme, 7506-16
12/21/2016
CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates, 7505-16
12/20/2016
Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges, 7504-16
12/20/2016
CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme, 7503-16
12/19/2016
CFTC Staff Issues Time-Limited No-Action Relief for Derivatives Clearing Organizations and Other Reporting Entities from Certain Obligations on Cleared Swap Reporting, 7502-16
12/19/2016
CFTC Staff Issues Time-Limited No-Action Relief for Entities Submitting Swaps for Clearing with Derivatives Clearing Organizations Acting under Exemptive Orders or No-Action Relief, 7501-16
12/19/2016
CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool, 7500-16
12/15/2016
CFTC Staff Issues No-Action Relief from the Inter-Affiliate Exemption from Required Clearing for Affiliated Counterparties Located in Australia or Mexico , 7499-16
12/14/2016
Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud, 7498-16
12/07/2016
CFTC Releases Rule Enforcement Review of ICE Futures U.S., 7497-16
12/07/2016
CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions, 7496-16
12/05/2016
CFTC Reproposes Position Limits Rule, 7495-16
12/02/2016
CFTC Unanimously Approves Proposed Rules Establishing Swap Dealer and Major Swap Participant Capital Requirements, 7494-16
11/30/2016
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Relating to the Use of a Consolidated Risk Disclosure Statement for Non-institutional Customers , 7493-16
11/30/2016
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme, 7492-16
11/30/2016
CFTC Grants CME Clearing Europe Registration as a Derivatives Clearing Organization, 7491-16
11/28/2016
CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties , 7490-16
11/21/2016
CFTC Staff Issues Time-Limited Extension of Swap Data Reporting Relief for Certain Swap Dealers and Major Swap Participants Established under the Laws of Australia, Canada, the European Union, Japan or Switzerland, 7489-16
11/21/2016
CFTC Releases Annual Enforcement Results for Fiscal Year 2016, 7488-16