WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label FUTURES COMMISSION MERCHANT. Show all posts
Showing posts with label FUTURES COMMISSION MERCHANT. Show all posts
Monday, May 26, 2014

CFTC ORDERS REGISTERED FUTURES COMMISSION MERCHANT TO PAY $200,000 PENALTY

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Global Futures & Forex, Ltd. Ordered to Pay $200,000 Penalty to Settle CFTC Charges...
Monday, March 31, 2014

MORGAN STANLEY SMITH BARNEY LLC SETTLES CFTC CHARGES RELATED TO SEGREGATED AND SECURED FUNDS ALLEGED RULE VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rule...
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