National Futures Association (NFA) has levied a fine of USD500,000 against Vision Financial Markets LLC (Vision). Vision is a Futures Commission Merchant and Commodity Pool Operator with headquarters in New York City and branch offices in Chicago, Illinois and Stamford,
The United States District Court for the Central District of California has granted the SEC’s motion for default judgment and entered a Final Judgment against defendants Easy Equity Asset Management, Inc, Easy Equity Management, LP, Easy Equity Partners, LP, Alero
The US Commodity Futures Trading Commission has obtained an emergency court order freezing assets held by defendants M25 Investments, M37 Investments, Scott P. Kear, Sr. and Jeffrey L. Lyon, all of Waxahachie, Texas, and David G. Seaman, of Arlington, Texas.
The Securities and Exchange Commission has charged a Buffalo, NY-based investment advisory firm and two co-owners accused of making false and misleading statements to clients regarding investments in a hedge fund. The hedge fund’s portfolio manager has agreed to settle
US District Court Judge George Daniels of the Southern District of New York has entered four separate orders stemming from an investigation code-named “Operation Wooden Nickel”, an undercover law enforcement sting conducted by the Commodity Futures Trading Commission, the Federal
NYSE Euronext’s proposal for the expansion of the Securities and Exchange Commission’s penny pilot programme, filed by NYSE Arca options, has been approved for market wide implementation by the SEC. The approval will extend the proposed pilot through 31 December
The US Commodity Futures Trading Commission has obtained an emergency federal court order freezing the assets of defendants Beau Diamond and his company, Diamond Ventures, both of Saras
The US Commodity Futures Trading Commission has sued Illinois-based Maize Capital Management and its chief operating officer Scott M.
In a stinging report summarising the results of an internal investigation into the U.S.
A Federal court judge in Los Angeles has continued an asset freeze against Gordon A.
