Joint Whistleblowers Receive Nearly $250,000 SEC Whistleblower Reward
On September 17, the U.S. Securities and Exchange Commission (SEC) announced it was awarding nearly $250,000 to joint whistleblowers whose ...
Tag: Securities and Commodities Fraud
VALIC Financial Advisors Pay SEC $40 Million to Settle Charges in Two Separate Actions
On July 28, the U.S. Securities and Exchange Commission (SEC) charged VALIC Financial Advisors Inc. (VFA) in two separate actions ...
Investment Advisory Firm and Former CEO Ordered to Pay SEC Over $2 Million
On July 1, the U.S. Securities and Exchange Commission (SEC) announced that the U.S. District Court for the District of ...
VOS Capital to Pay CFTC over $3.5 Million for Unlawful Operation of a Commodity Pool
On June 23, the U.S. Commodity Futures Trading Commission (CFTC) obtained a final order resolving their charges against Dominick Vincent ...
Perpetrators of Forex Fraud Scheme to Pay CFTC Nearly $1.3 Million
On July 10, the U.S. Commodity Futures Trading Commission (CFTC) announced a court order of default judgment in its case ...
New York Mercantile Exchange to Pay CFTC $4 Million for Disclosing Material Non-Public Information
On August 4, the U.S. Commodity Futures Trading Commission (CFTC) announced that a judge had entered a consent order resolving ...
Futures Commission Merchant to Pay CFTC $12 Million for Anti-Money Laundering and Supervision Violations
On August 10, the U.S. Commodity Futures Trading Commission (CFTC) filed and settled charges against Interactive Brokers LLC, a registered ...
CFTC Posts Notices of Covered Action Regarding Recent Settlements Involving Deutsche Bank
On June 23, the U.S. Commodity Futures Trading Commission (CFTC) posted two Notices of Covered Action regarding the recent settlement ...
CFTC Pays Award to Commodities Fraud Whistleblower
Today, the U.S. Commodity Futures Trading Commission (CFTC) approved a whistleblower award to an individual who “voluntarily provided original information... .that led ...
CFTC Warns of Increased Commodities Fraud Due to Coronavirus Pandemic
The U.S. Commodity Futures Trading Commission (CFTC) has issued a warning to the public of possible fee scams and “get ...
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