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 INTRODUCING BROKER. Show all posts
Showing posts with label INTRODUCING BROKER. Show all posts
Saturday, September 13, 2014

WHAT WE HAVE HERE IS A FAILURE TO SUPERVISE*

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Zulutrade Inc. to Pay $150,000 Penalty and Disgorge Profits of $80,000 to Settle...
Thursday, January 16, 2014

COURT ORDERS INTRODUCING BROKER TO PAY FINE FOR RECORD-KEEPING VIOLATIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court in Illinois Orders Chicago-based Introducing Broker New World Holdings, LLC to P...
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