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Search guide · Data current as of 2025-09-24

CFTC Fines New York and UK-Based Firms for Net Capital Deficiencies
Article
BMC Worldwide, Inc.
Company · Regulator action
CFTC Orders North Carolina Man and His Company to Pay $2.6 Million for Fraudulent Solicitation, Pool Fraud, and Failure to Register
Article
XP Investments US, LLC
Company · Regulator action
CFTC Orders Société Générale S.A. to Pay $1.5 Million for Mid-Market Mark, Swap Valuation Data and Supervision Failures
Article
CFTC Charges Eight Entities for Fraudulently Claiming CFTC Registration
Article
CFTC Orders Canadian Imperial Bank of Commerce to Pay $1.25 Million for Untimely Swaps Reporting
Article
CFTC Charges California-based Company and Its CEO with Fraudulent Solicitation and Misappropriation of Digital Asset Commodities
Article
CFTC Orders California Trader and Prop Firm to Pay $750,000 for Spoofing in Treasury Futures
Article
CFTC Charges BitMEX Owners with Illegally Operating a Cryptocurrency Derivatives Trading Platform and Anti-Money Laundering Violations
Article
Jozef Gherman
Person · Regulator action
CFTC Charges New York Man in Multi-Million Dollar Digital Asset Ponzi Scheme Involving Bitcoin and Ether
Article
Australia and New Zealand Banking Group Ltd.
Company · Regulator action · Australia
CFTC Orders Goldman Sachs to Pay $5.5 Million for Recordkeeping Violations and Violating a Prior Commission Order
Article
swiftminingexpert.com
Company · Regulator action
CFTC Charges Wisconsin Woman and Her Companies with Fraud and Misappropriation
Article
CFTC Charges Energy Broker, Its Owners, and Affiliated Firms with Fraud, Unauthorized Trading, and Supervision Violations
Article
Christopher A. Kertatos
Person · Regulator action · United States of America
Trading Technologies Group Sociedad Anónima
Company · Regulator action · Costa Rica
Glen Galemmo
Person · Regulator action
Federal Court Orders Texas Fraudulent Forex Trader and His Company to Pay Over $940,000
Article
Federal Court Orders Chicago Commodity Pool Operators, Owner, Former Chief Portfolio Manager to Pay More Than $6M in Fraud Action
Article
Digital Platinum Limited
Company · Regulator action · Israel
CFTC Wins Jury Verdict in 2020 Commodity Pool Fraud Case
Article
BBT Capital Limited
Company · Regulator action

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Topics

814Regulator action 25Bank 5Financial services 1Politician

Data sources

1,195US CFTC Enforcement Actions 25Business Identifier Code (BIC) Reference Data 12Wikidata 5US FATCA Foreign Financial Institution (FFI) List 5US Federal Reserve Enforcement Actions 1US FDIC Failed Banks 1US FINRA Enforcement Actions

Countries

284United States of America 15United Kingdom 12Israel 9Canada 6China 4United Arab Emirates 4Brazil 4Switzerland 3Australia 3Seychelles

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