Recent Posts

CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures

Interactive Brokers

CFTC filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant, for failing to diligently supervise the handling of its customer accounts by not adequately preparing and configuring its electronic trading system to receive negative prices and calculate margin on April 20, 2020

Read More »

CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required

CFTC The Commodity Futures Trading Commission fraud Futures and Options pooled futures

CFTC issued an order filing and settling charges against respondent Payward Ventures, Inc. d/b/a Kraken (Kraken) for illegally offering margined retail commodity transactions in digital assets, including Bitcoin, and failing to register as a futures commission merchant (FCM)

Read More »