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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
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- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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CFTC Disciplinary Actions - December 2018
December 27, 2018
by Howard Haykin
Over the past month, the Commodity Futures Trading Commission reported the following disciplinary actions:
- Cherry-Picking Scheme: Commodity Trading Firm and Principal to Pay $315K [December 21]
- Fraudulent Forex Pool Scheme: Forex Trading Firm and Principal to Pay >$1.6Mn [December 21]
- Fraudulent Scheme: Iowa Commodity Trader to Pay $2.1Mn [December 21]
- Fraud and Misappropriation of Investors Funds: Pool Operators to Pay >$23Mn in Restitution, Penalties [December 19]
- Ongoing Forex and Commodity Fraud: Chicago-Area Trader Charged [December 17]
- Commodity Pool Fraud: Defendants to Pay >$11Mn [December 10]
- Commodity Pool Fraud, and Misappropriation of Funds: Judgment against Commodities Trader [December 06]
- $170Mn Precious Metals Ponzi Scheme: Salt Lake City Precious Metals Dealer and His Company [November 16]
► $200Mn precious Metals Ponzi Scheme: Defendants Added in Case Against Rust Rare Coin, Gaylen Rust [December 17]
- Annual Report on Enforcement Issues for 2018 [November 15]
