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25 results

Source records 301 to 325 of 908, in corpus order.

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Article
CFTC Charges Commodity Trading Advisor, Commodity Pool Operator and Its Owner with Fraudulently Allocating Trades
Article
No risk topic published
1 source
Article
CFTC Files Actions to Revoke Registrations of Introducing Broker, Commodity Pool Operator, and Associated Person for Violating CEA Antifraud Provisions
Article
No risk topic published
1 source
Article
CFTC Charges Agridime and Its Co-Founders with a Fraudulent Cattle Scheme
Article
No risk topic published
1 source
Person
Dennis Weinmann
Person
Regulator action
1 source
Article
Federal Court Sanctions Slovakian Trader and His Principals for Spoofing and Engaging in a Manipulative and Deceptive Scheme
Article
No risk topic published
1 source
Type not stated
Tin Quoc Tran
Type not stated
Regulator action
1 source
Article
CFTC Orders Piper Sandler to Pay $2 Million for Recordkeeping and Supervision Failures for Firm-Wide Use of Unapproved Communication Methods
Article
No risk topic published
1 source
Type not stated
CHS Hedging LLC
Type not stated
Regulator action
1 source
Type not stated
Goldman Sachs & Co. LLC
Type not stated
Regulator action
1 source
Article
CFTC Orders Chicago Trader to Pay $100,000 for Spoofing in Natural Gas and RBOB Futures
Article
No risk topic published
1 source
Article
CFTC Orders Barclays to Pay $4 Million For Swap Reporting Violations
Article
No risk topic published
1 source
Person
Joseph Anile
Person
Regulator action
1 source
Person
Christopher Delgado
Person
Regulator action
1 source
Type not stated
Blockratize, Inc. d/b/a Polymarket
Type not stated
Regulator action
1 source
Person
John Vassallo
Person
Regulator action
1 source
Type not stated
Universal Navigation Inc. d/b/a Uniswap Labs
Type not stated
Regulator action
1 source
Company
Satellite Holdings Company
Company
Also known as SHC
Regulator action
1 source
Article
CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme
Article
No risk topic published
1 source
Article
CFTC Charges Puerto Rico Resident and His Firm for Misappropriation of Nonpublic Information and Fictitious Trading
Article
No risk topic published
1 source
Person
Marvin W. Courson III
Person
Regulator action
1 source
Type not stated
Daniel Adam Hewko
Type not stated
Regulator action
1 source
Person
Richard D. Neal
Person
Regulator action
1 source
Article
CFTC Charges Commodity Pool Operators and a Florida Company with Fraudulently Solicitating Over $41.6 Million in a Commodity Pool Scheme
Article
No risk topic published
1 source
Article
CFTC Orders George Santos to Pay $35,000 for Manipulative Trading of State-of-the-Union Event Contract
Article
No risk topic published
1 source
Article
CFTC, 30 State Regulators Obtain Over $51 Million in Sanctions, Restitution for Victims in California Precious Metals Fraud
Article
No risk topic published
1 source