The CFTC issued "There’s Nothing to Like about Scammers on Social Media," a Customer Protection Advisory that warns customers to ...
CN Editor
July 04, 2019
CFTC ORDERS A CALIFORNIA COMMODITY TRADING ADVISOR TO PAY MORE THAN $4 MILLION FOR FRAUD AND REGISTRATION VIOLATIONS
CFTC CHARGES FIVE DEFENDANTS WITH FRAUDULENT DIGITAL ASSETS TRADING SCHEME
CFTC STAFF ISSUES AN ADVISORY RELATED TO PRIME BROKERAGE ARRANGEMENTS AND DERIVATIVES CLEARING ORGANIZATION REGISTRATION REQUIREMENTS
THE CFTC AND STATE REGULATORS IN CALIFORNIA AND HAWAII CHARGE LOS ANGELES AREA PRECIOUS METALS DEALER IN ONGOING $61 MILLION FRAUD TARGETING THE ELDERLY
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD