CFTC charges Red Rock Secured, CEO with perpetrating $61.8M fraudulent scheme
The CFTC complaint charges Red Rock Secured LLC, its Owner and CEO, Sean Kelly, and Senior Account Executive Anthony Spencer.
The CFTC complaint charges Red Rock Secured LLC, its Owner and CEO, Sean Kelly, and Senior Account Executive Anthony Spencer.
The CFTC order charges HSBC with manipulative and deceptive trading related to swaps with bond issuers, spoofing, and supervision failures.
The CFTC has fined The Bank of Nova Scotia $15 million for supervision failures for use of unapproved communication methods.
The Department of Justice seeks to intervene in the CFTC proceedings against crypto fraudster Rashawn Russell.
The CFTC alleges that Christophe Rivoire, a senior member of HSBC’s rates trading desk in New York, engaged in market manipulation.
The CFTC has filed a complaint against Systematic Alpha Management, LLC (SAM) and Peter Kambolin, its owner.
Mizuho Capital Markets will pay over $6.8 million for trade practice violations of the Swap Dealer Business Conduct Standards in the CEA and CFTC regulations.
The CFTC has issued an Order of Registration to RTX Fintech & Research LLC granting it registration as a swap execution facility (SEF).
Prior to joining the CFTC, Jeffrey Sutton served as the Chief Financial Officer (CFO) of the Drug Enforcement Administration (DEA).
The Florida Southern District Court has entered an order for final judgment against DCAST Capital Investments LLC and Five Traders LLC.