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25 results

Source records 326 to 350 of 908, in corpus order.

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Article
Federal Court Enters Summary Judgment Against Convicted Florida Man and Orders Multiple Entities and Individuals to Pay Over $60 Million for Retail Forex Fraud Scheme
Article
No risk topic published
1 source
Article
CFTC Orders Interactive Brokers LLC to Pay Over $1 Million for Supervision Failures
Article
No risk topic published
1 source
Article
CFTC Orders ICE Clear Europe Limited to Pay a $450,000 Civil Monetary Penalty for Violating Customer Protection Regulations
Article
No risk topic published
1 source
Type not stated
Squared Financial Services Limited (SFSL)
Ireland
Regulator action
1 source
Person
William Tomita
Person
Regulator action
1 source
Company
Cost Management Solutions, LLC (CMS)
Company
Regulator action
1 source
Person
Tal Valariola
Person
Regulator action
1 source
Type not stated
Compcoin LLC
Type not stated
Regulator action
1 source
Article
Federal Court Orders New York Man to Pay Over $3.4 Million For Forex Fraud Scheme Following Summary Judgment Ruling
Article
No risk topic published
1 source
Type not stated
Agridime LLC
Type not stated
Regulator action
1 source
Type not stated
EIA All Weather Alpha Fund I Partners LLC
Type not stated
Regulator action
1 source
Type not stated
Interactive Brokers LLC
Type not stated
Regulator action
1 source
Type not stated
Refinitiv US SEF LLC
Type not stated
Regulator action
1 source
Person
Ted Brent Alexander
Person
Regulator action
1 source
Article
CFTC Orders North Carolina Man and His Company to Pay $2.6 Million for Fraudulent Solicitation, Pool Fraud, and Failure to Register
Article
No risk topic published
1 source
Article
CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures
Article
No risk topic published
1 source
Type not stated
Advantage Futures LLC
Type not stated
Regulator action
1 source
Article
CFTC Charges Eight Entities for Fraudulently Claiming CFTC Registration
Article
No risk topic published
1 source
Article
CFTC Orders Canadian Imperial Bank of Commerce to Pay $1.25 Million for Untimely Swaps Reporting
Article
No risk topic published
1 source
Type not stated
Aralia Securities, Ltd
Type not stated
Regulator action
1 source
Article
CFTC Charges California-based Company and Its CEO with Fraudulent Solicitation and Misappropriation of Digital Asset Commodities
Article
No risk topic published
1 source
Article
CFTC Orders Goldman Sachs to Pay $5.5 Million for Recordkeeping Violations and Violating a Prior Commission Order
Article
No risk topic published
1 source
Article
CFTC Charges Wisconsin Woman and Her Companies with Fraud and Misappropriation
Article
No risk topic published
1 source
Company
Zolarex Ltd
Company
Also known as d/b/a BinaryOnline
Regulator action
1 source
Article
CFTC Charges Energy Broker, Its Owners, and Affiliated Firms with Fraud, Unauthorized Trading, and Supervision Violations
Article
No risk topic published
1 source