Thursday, November 14, 2013

RESTITUTION ORDER FORCES CALIFORNIA MAN TO PAY $1.75 MILLION TO SETTLE FRAUD CHARGES

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  November 13, 2013 Federal Court in California Orders Thomas B. Breen, a Principal of Na...
Wednesday, November 13, 2013

President Obama Nominates Timothy Massad as Commodity Futures Trading Commission Chair | The White House

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President Obama Nominates Timothy Massad as Commodity Futures Trading Commission Chair | The White House

SEC ANNOUNCES DEFERRED PROSECUTION AGREEMENT FOR INDIVIDUAL WHO PROVIDED INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced a deferred prosecution agreement wit...
Tuesday, November 12, 2013

JUDGEMENT ENTERED AGAINST OFFSHORE BOILER ROOM DEFENDANTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Final Judgment Against Defendants Charged with Perpetrating $35 Million Interna...
Monday, November 11, 2013

SEC ANNOUNCES SANCTIONS AGAINST AUDIT FIRM, FOUNDER, TWO PARTNERS AND AUDIT MANAGER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced sanctions against a New York-based a...
Sunday, November 10, 2013

CFTC CHAIRMAN GENSLER'S STATEMENT ON AGGREGATION PROVISIONS FOR LIMITS ON SPECULATIVE POSITONS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Statement of Support by Chairman Gary Gensler: Aggregation Provisions for Limits on Specu...