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CFTC Taking Action on Inaccurate Reporting

The Commodity Futures Trading Commission (CFTC) is increasingly taking action on inaccurate reporting by market participants. In the past year, the CFTC has entered into three settlements with market participants for filing...more

Second Recent CFTC “Banging The Close” Case Results In Various CEA Violations, Fines, Trading Bans

On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents) for violating the Commodity Exchange Act (CEA). ...more

Record CFTC Fines In 2013

On October 24, 2013, the CFTC Enforcement Division announced its 2013 fiscal year results – 82 filed enforcement actions and record fines of $1.7 billion ($1.5 billion in civil penalties and $200 million in restitution and...more

10/28/2013  /  CFTC , Compliance , Enforcement Actions , Fines

CFTC Announces Second Spoofing Action Against Commodity Traders

The Commodity Futures Trading Commission (CFTC) recently announced its second enforcement action against a commodity trader for engaging in the manipulative scheme called “spoofing.” U.S. Commodity Futures Trading Commission...more

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