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25 results

Source records 401 to 425 of 908, in corpus order.

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Company
Fisher Capital LLC
Company
Regulator action
1 source
Type not stated
Archegos Capital Management, LP
Type not stated
Regulator action
1 source
Type not stated
Celsius Network, LLC
Type not stated
Regulator action
1 source
Type not stated
Zolarex Ltd. d/b/a BinaryOnline
Marshall Islands
Regulator action
1 source
Article
CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered
Article
No risk topic published
1 source
Article
CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement
Article
No risk topic published
1 source
Company
Matchlessfxminer
Company
Regulator action
1 source
Article
The CFTC and California Department of Financial Protection & Innovation Charge Los Angeles Area Precious Metals Dealer in $21 Million Fraudulent Scheme
Article
No risk topic published
1 source
Type not stated
SAEG Capital General Management LP
Type not stated
Regulator action
1 source
Type not stated
HSBC Bank USA, N.A.
Type not stated
Regulator action
1 source
Person
William Koo Ichioka
Person
Regulator action
1 source
Article
CFTC Orders Wisconsin Man to Pay Civil Monetary Penalty for Acting as an Unregistered Commodity Trading Advisor
Article
No risk topic published
1 source
Article
CFTC Orders Powerline Petroleum, LLC to Pay $875,000 For Fraud, False Statements to CME, and Failure to Register as a Commodity Trading Advisor
Article
No risk topic published
1 source
Person
Kay Yang
Person
Regulator action
1 source
Article
Federal Court Orders Unregistered Florida Commodity Pool Operator to Pay Over $64 Million in Monetary Sanctions for Fraudulent Scheme
Article
No risk topic published
1 source
Type not stated
Prime Expert Trade
Type not stated
Regulator action
1 source
Article
CFTC Charges Five Entities and Five Individuals with $58 Million Foreign Currency Fraud and Misappropriation Scheme
Article
No risk topic published
1 source
Article
CFTC Orders Two Foreign Firms to Pay $2.5 Million for Illegal Off-Exchange Transactions with U.S. Customers
Article
No risk topic published
1 source
Type not stated
Wirestech Limited d/b/a BigOption
Marshall Islands
Regulator action
1 source
Article
CFTC Orders a California Commodity Trading Advisor to Pay More Than $4 Million for Fraud and Registration Violations
Article
No risk topic published
1 source
Article
CFTC Orders HSBC to Pay a $30 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
Article
No risk topic published
1 source
Article
CFTC Charges Five Entities for Failing to Register as FCMs
Article
No risk topic published
1 source
Person
Adam Cobb-Webb
United Kingdom
Regulator action
1 source
Type not stated
Darren Dohme
Type not stated
Regulator action
1 source
Article
Binance Former Chief Compliance Officer, Samuel Lim, Agrees to Pay $1.5 Million for Willfully Evading U.S. Law, and Aiding and Abetting the Illegal Operation of a Digital Asset Derivatives Exchange, and Other Violations
Article
No risk topic published
1 source