U.S. Commodity Futures Trading Commission (CFTC) Chairman Heath P. Tarbert today announced the following appointments to the CFTC...
CN Editor
August 08, 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
MELLISSA CAMPBELL DURU NAMED DIVISION OF CORPORATION FINANCE"S DEPUTY DIRECTOR FOR LEGAL AND REGULATORY POLICY
FCA AND PSR BOARDS APPOINT NEW MEMBERS TO DECISION-MAKING COMMITTEES
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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