The CFTC has paid out more than $90 million in awards since establishing the Whistleblower Program
The order requires assesses a $140,000 civil monetary penalty
The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains ...
Promised pool participants 8%-20% returns, lost $1.4 million
Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing a final rule to amend the position limit rules applicable to security futures products (“SFP”) ...
Trunz spoofed thousands of trades while employed at two New York banks
A deceptive scheme that attempted to manipulate precious metals futures' prices
At least one broker made false statements to CFTC staff during the investigation
PCI failed to disclose the cyber breach to its customers in a timely manner