CFTC 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 Chairman Timothy Massad Announces Resignation as Chairman
Chairman Timothy G. Massad today said he has tendered to President Obama his resignation as Chairman of the U.S. Commodity Futures Trading Commission, effective on January 20, 2017.
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 ArticleAnalytics: The Agile Way
For years, organizations have struggled to make sense out of their data. IT projects designed to provide employees with dashboards, KPIs, and business-intelligence tools often take a year or more to...
View ArticleBuilding Wealth through Venture Capital: A Practical Guide for Investors and...
Building Wealth Through Venture Capital is a practical how-to guide for both sides of the table—investors and the entrepreneurs they fund. This expert author duo combines renowned venture capital...
View ArticleEmergent: Ignite Purpose, Transform Culture, Make Change Stick
Emergent provides a handbook for navigating – and thriving in – the new cultural paradigm. More than a simple DIY for change, this book empowers organisations to diagnose change risk, address current...
View ArticleThe Future of Finance - Milken Institute Panel Discussion
The financial services industry is changing faster than ever due to technological advances and an evolving regulatory environment. This session will examine how these trends are reshaping financial...
View ArticleIOSCO Publishes Thematic Review of Client Asset Protection Recommendations
IOSCO/MR/21/2017read more...
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