Petal Walker, Chief Counsel to former Commodity Futures Trading Commission (CFTC) Commissioner Sharon Bowen will leave the CFTC effective today….
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Tag: Commodity Futures Trading Commission (CFTC)
CFTC fines Morgan Stanley & Co. LLC. $500,000 for supervision failures
The Commodity Futures Trading Commission (CFTC) has issued an Order filing and simultaneously settling charges against Morgan Stanley & Co….
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Three companies fined in CFTC precious metals and diamonds anti-fraud action
Slemmer Enterprises, Dorrian Enterprises and Roth Investment Group all part of the Berkley Enterprise that defrauded customers The Commodity Futures…
Read MoreCFTC charges Deutsche Bank AG with multiple swap reporting violations and more
It’s been a busy week for the U.S. Commodity Futures Trading Commission (CFTC). After charging FXCM, CFTC has filed a civil…
Read MorePadbury Mining directors banned for three years due to Oakajee Funding Secured announcement
The Federal Court in Perth has banned Gary Stokes and Terence Quinn from managing corporations for three years and ordered…
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