Federal Court Orders Florida-Based North American Asset Management, LLC,...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Jose E. Martinez of the U.S. District Court for the Southern District of Florida entered a Consent Order against North American...
View ArticleCFTC Order Finds that McVean Trading & Investments, LLC; Charles Dow...
The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and simultaneously settling charges against McVean Trading & Investments, LLC, a Memphis-based FCM; its Chairman and...
View ArticleCFTC Charges New Jersey Resident Michael S. Wright and New York Firm Wright...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Michael S. Wright, of Jersey City, New...
View ArticleFederal Court in New York Imposes Permanent Registration and Trading Bans...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the Southern District of New York entered an Opinion and Order against Defendants Gary Creagh and Wall...
View ArticleCFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against Huafu HK Co. Ltd., a corporation based in Hong Kong, for failing to file CFTC Form 304 reports,...
View ArticleFederal Court in North Carolina Orders Tracy Lee Thomas and His Company,...
The U.S. Commodity Futures Trading Commission (CFTC) announced that the U.S. District Court for the Middle District of North Carolina entered an Order of Final Judgment by Default against Defendants...
View ArticleCFTC Enters into Non-Prosecution Agreements with Former Citigroup Global...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it entered into non-prosecution agreements with Jeremy Lao (Lao) of New York, New York, Daniel Liao (Liao) of Minato-Ku, Japan,...
View ArticleCFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading...
The U.S. Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Rosenthal Collins Capital Markets, LLC, now known as DV Trading LLC, of Chicago, Illinois, for...
View ArticleCFTC Charges New York Resident Daniel Winston LaMarco and His Company,...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Eastern District of New York against Defendants Daniel Winston LaMarco and his...
View ArticleFederal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. District Court for the Middle District of Florida entered an Order of Final Judgment by Default...
View ArticleCFTC Charges California Resident Jason B. Scharf, His Worldwide Web of...
The Commodity Futures Trading Commission (CFTC) today announced that a federal district court has unsealed a civil CFTC Complaint with the Middle District of Florida on July 10, 2017, charging Jason B....
View ArticleCFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay...
The U.S. Commodity Futures Trading Commission (CFTC) settled charges against Arthur Toole III of Atlanta, Georgia, and his companies, Billionaire Investor Group, a Texas limited liability company, The...
View ArticleCFTC Issues Order of Registration for ICE Endex Markets B.V. to Permit...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to ICE Endex Markets B.V. (ICE Endex), a Foreign Board of Trade (FBOT) in Amsterdam,...
View ArticleCFTC Unanimously Approves Proposal to Amend Recordkeeping Requirements
The U.S. Commodity Futures Trading Commission (CFTC) today unanimously approved proposed amendments to Regulation 1.31.
View ArticleCFTC Unanimously Approves Proposals on Swaps Data and Other Amendments
The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved proposed changes to swap data rules that implement Congressional action to remove indemnification requirements for...
View ArticleCFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of...
The U.S. Commodity Futures Trading Commission (CFTC ) today issued an order to LCH.Clearnet Limited (LCH), a CFTC-registered derivatives clearing organization, under Section 4d(f) of the Commodity...
View ArticleCFTC Names J. Christopher Giancarlo Acting Chairman
Commissioner J. Christopher Giancarlo was designated per seriatim as Acting Chairman of the U.S. Commodity Futures Trading Commission (CFTC) today, January 20, 2017.
View ArticleCFTC Extends Public Comment Period for the Supplemental Proposal for...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it is extending the comment period for the supplemental proposal for Regulation Automated Trading (Regulation AT) to May 1, 2017.
View ArticleCFTC General Counsel Jonathan L. Marcus to Depart Agency
U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced that General Counsel Jonathan L. Marcus will depart the agency.
View ArticleCFTC Acting Chairman Giancarlo Announces Amir Zaidi as Director of the...
U.S. Commodity Futures Trading Commission (CFTC or Commission) Acting Chairman J. Christopher Giancarlo today announced several staff changes at the Commission. Giancarlo has appointed Amir Zaidi to...
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