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25 results

Source records 376 to 400 of 908, in corpus order.

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Article
CFTC Orders J.P. Morgan to Pay $850,000 for Swap Reporting Failures
Article
No risk topic published
1 source
Person
Ronald Montano
Person
Regulator action
1 source
Article
Federal Court Orders Digital Asset Derivatives Platform and Florida Resident to Pay More than $15 Million for Multiple Violations of the Commodity Exchange Act
Article
No risk topic published
1 source
Article
Federal Court Orders New York Man to Pay Over $36 Million for Forex and Digital Asset Fraud
Article
No risk topic published
1 source
Person
Daniel Winston LaMarco
Person
Regulator action
1 source
Article
CFTC Obtains Final Judgment Against Michigan Commodity Pool Operator and His Company for a Fraudulent Forex Scheme
Article
No risk topic published
1 source
Article
Mosaic Exchange Ltd. and CEO Ordered to Pay Over $1.1 Million for Fraudulent Digital Asset Commodity Scheme
Article
No risk topic published
1 source
Type not stated
Jimmy Gale Watson
Type not stated
Regulator action
1 source
Article
CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF
Article
No risk topic published
1 source
Type not stated
DSD Capital Management, LLC
Type not stated
Regulator action
1 source
Type not stated
Omerta Capital LLC
Type not stated
Regulator action
1 source
Article
CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision Violations
Article
No risk topic published
1 source
Type not stated
BBL Commodities LP
Type not stated
Regulator action
1 source
Article
CFTC Charges KuCoin with Operating Illegal Digital Asset Derivatives Exchange
Article
No risk topic published
1 source
Article
CFTC Charges Former CEO of Carbon Credit Project Developer with Fraud Involving Voluntary Carbon Credits
Article
No risk topic published
1 source
Type not stated
Regal Assets LLC
Type not stated
Regulator action
1 source
Person
Robert L. Adams
Person
Regulator action
1 source
Person
Andrew Serotta
Person
Regulator action
1 source
Article
CFTC Orders New York-Based Commodity Pool Operator and Commodity Trading Advisor to Pay $400,000 Penalty for Supervision Failures
Article
No risk topic published
1 source
Type not stated
Ares Global Ltd.
Type not stated
Also known as Trubluefx
Regulator action
1 source
Article
CFTC Permanently Revokes Registrations of Mississippi-based Commodity Trading Advisor and Associated Person
Article
No risk topic published
1 source
Type not stated
EOX Holdings, LLC
Type not stated
Regulator action
1 source
Person
Armen Temurian
Person
Regulator action
1 source
Type not stated
DARMA, LLC
Type not stated
Regulator action
1 source
Article
CFTC Secures Judgment Against Michigan Commodity Pool Operator and His Company Engaged in Fraud Scheme
Article
No risk topic published
1 source