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https://www.cftc.gov/ConsumerProtection/RedressReparations/index.htm
File Complaint or Report Suspicious Activities. List of Foreign Entities That Have Been Identified as Acting in a Capacity That Appears to Require Registration but Are Not Appropriately Registered With the Commission. The Commodity Futures Trading Commission (CFTC) frequently receives leads and questions from the public about foreign entities ...
https://cftc.gov/complaint
COMPLAINT FORM. If you do not wish to be eligible for a potential award and receive anti-retaliation protections, you can report information electronically to the Division of Enforcement on a Complaint Form or by calling us toll-free at 866-FON-CFTC (866-366-2382).
https://forms.cftc.gov/Forms/TipsAndComplaints.aspx
Prior complaint to the CFTC. Complaint to another regulator. A state or federal criminal law enforcement entity. A legal action filed against the person or firm in a court of law. Additional comments based on above selection (e.g., Who, When, Contact, To whom made, Case Number, Court). 7. Provide a brief description about what you are ...
https://forms.cftc.gov/Forms/Whistleblower.aspx
TIP, COMPLAINT OR REFERRAL. Please refer to the attached Submission Procedures and Completion Instructions as needed to help you complete this form. Or, to submit the form by mail or facsimile, print out the Form TCR and mail or fax the completed form to: CFTC, Whistleblower Office, 1155 21st Street, NW, Washington, DC 20581.
https://www.cryptovibes.com/blog/2020/01/07/tfs-icap-and-two-other-defendants-will-respond-to-cftc-complaint/
Jan 07, 2020 · Ian Dibb, Jeremy Woolfenden, and TFS-ICAP, the three defendants named in a CFTC complaint, have time till February 20 to respond to a CFTC complaint. The US Commodity Futures Trading Commission has charged them with fraud. Court determines deadline
https://www.ftccomplaintassistant.gov/Details
Review Your Complaint. How It Started. Fill in what you know. If you don't know or if it doesn't apply, leave it blank. When did this begin (mm/dd/yyyy)? Enter the date when the issues first started. If you’re unsure of the exact date, please provide your best guess.
https://financefeeds.com/tfs-icap-ian-dibb-jeremy-woolfenden-set-respond-cftc-complaint-feb-2020/
Jan 06, 2020 · The CFTC Complaint alleges that the practices, known as “flying prices” and “printing trades”, were a core part of TFS-ICAP’s broking business. In November, the Court issued an order denying the motion to dismiss filed by Jeremy Woolfenden. The motion by Ian Dibb to strike a part of the complaint is pending before the Court.
https://financefeeds.com/tfs-icap-ian-dibb-jeremy-woolfenden-respond-cftc-complaint/
In line with earlier FinanceFeeds’ reports, TFS-ICAP, its former Chief Executive Officer Ian Dibb, and former Head of Emerging Markets broking Jeremy Woolfenden have responded to a complaint by the Commodity Futures Trading Commission (CFTC), charging the defendants with fraud.. The responses by the defendants were filed with the New York Southern District Court on February 21, 2020.
https://www.law.cornell.edu/cfr/text/17/23.201
(a) Transaction and position records. Each swap dealer and major swap participant shall keep full, complete, and systematic records, together with all pertinent data and memoranda, of all its swaps activities.Such records shall include: (1) Transaction records. Records of each transaction, including all documents on which transaction information is originally recorded.
https://en.wikipedia.org/wiki/Commodity_Futures_Trading_Commission
The U.S. Commodity Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates the U.S. derivatives markets, which includes futures, swaps, and certain kinds of options.. The Commodity Exchange Act ("CEA"), 7 U.S.C. § 1 et seq., prohibits fraudulent conduct in the trading of futures, swaps, and other derivatives.Agency executive: Heath Tarbert, Chairman
https://www.whistleblower.gov/sites/whistleblower/files/Form_TCR_2017.07.31.pdf
[] Prior complaint to the CFTC. [] Complaint to another regulator. [] A state or federal criminal law enforcement entity. [] A legal action filed against the person or firm in a court of law. [] Additional comments based on above selection (e.g., W ho, When, Contact, To whom made, Case Number, Court).
https://www.whistleblower.gov/
The Whistleblower Program. The CFTC's Whistleblower Program provides monetary incentives to individuals who report possible violations of the Commodity Exchange Act that lead to a successful enforcement action, as well as privacy, confidentiality, and anti-retaliation protections for whistleblowers.
https://www.silverdoctors.com/gold/gold-news/monex-cftc-complaint-is-second-major-lawsuit-since-early-2000s/
Sep 11, 2017 · The CFTC Complaint charges the Defendants, among other claims, with defrauding thousands of retail customers nationwide out of hundreds of millions of dollars, while executing thousands of illegal, off-exchange leveraged commodity transactions.
https://content.next.westlaw.com/Document/Ia45da980693a11e698dc8b09b4f043e0/View/FullText.html?contextData=(sc.Default)
CFTC Files Complaint Against Deutsche Bank Alleging Swap Data Reporting Violationsby Practical Law Finance Related Content Published on 25 Aug 2016 • USA (National/Federal)The CFTC filed a complaint against Deutsche Bank alleging multiple swap reporting violations, an inadequate business continuity and disaster recovery plan, supervision failures, and violation of a prior CFTC order.
https://coinweek.com/bullion-report/cftc-complaint-monex-290-million-fraud/
Sep 08, 2017 · One of the largest cases of alleged fraud the CFTC has ever dealt with, according to new lawsuit filed against three Monex companies. By CoinWeek News …Author: Coinweek
https://www.sullcrom.com/files/upload/SC-Publication-CFTC-Continues-Enforcement-Focus-Forms-Insider-Trading-Task-Force.pdf
CFTC alleged that Gizienski owed those customers a duty of trust and confidence with respect to such information, by law or rule, by agreement, and by understanding. Among other things, the CFTC’s complaint highlighted, in particular, EOX’s written agreements with customers which
https://www.eeoc.gov/federal/reports/fsp2011/cftc.cfm
Commodity Futures Trading Commission (CFTC) FY 2011 EEO Complaint Processing Statistics
https://www.sec.gov/news/press-release/2019-171
Sep 04, 2019 · The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in penalties to settle charges that it failed to implement policies to manage certain risks as required by U.S. laws and SEC and CFTC rules.
https://www.nfa.futures.org/ComplaintNet/complaint.aspx
Thank you for submitting your complaint to NFA. A member of NFA's Compliance Department will contact you detailing additional steps you can take to help NFA further pursue your complaint. If you have any questions regarding your complaint, please contact NFA's …
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