The CFTC announced that civil enforcement actions were filed and simultaneously settled against two trading firms and one bank fo...
CN Editor
October 03, 2019
CFTC CHARGES OREGON RESIDENT AND HIS CORPORATION WITH FRAUD RELATED TO LEVERAGED FOREIGN CURRENCY AND METALS, AND FAILING TO REGISTER
CFTC CHARGES FLORIDA MAN WITH $600,000 OPTIONS FRAUD
CFTC ORDERS TAIWANESE FIRM TO PAY $200,000 FOR WASH SALES
CFTC ORDERS TWO SWAP EXECUTION FACILITIES TO PAY $1.3 MILLION FOR SWAP DATA REPORTING AND CORE PRINCIPLE VIOLATIONS
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NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO