CFTC证bob200体育券头条新闻：高盛（Goldman Sachs）因1.18亿美元的欺诈行为而被罚款不充分的经纪人监督，用贵金属骗局命名的公司，被告以非交换外币计划支付180万美元

Goldman Sachs Fined$1.5 Inadequate Supervision in $118M Fraud
商品期货交易委员会说，高盛（GS）必须支付150万美元，因为它没有正确监督trader Matthew Marshall Taylor, who allegedly got around internal systems to manually make fabricated trades that went straight to the financial firms’ records and books and not the exchange. Taylor is accused of defrauding the bank, which lost about $118.4M.

The agency says that Goldman failed to make sure that its risk management, supervision, and compliance programs were in alignment with its duties to diligently oversee its business as a registrant of the Commission. However, CFTC commissioner Bart Chilton has criticized the $1.5M fine, describing it as a wrist slap.

CFTCNames Firms and Individuals in Precious Metal Scam该委员会已针对许多公司提起了民事禁令的执法诉讼Jr.，美国首都信托有限责任公司以及相关实体，弗雷德·贾格（Fred Jager），弗兰克·高迪诺（Frank Gaudino），詹姆斯·伯巴奇（James Burbage），查德威克·霍普金斯（Chadewick Hopkins），巴里斯·凯瑟（Baris Keser），戴维·A·摩尔（David A. Moore）和约翰·金（John King）。他们被指控欺诈营销非法的商品合同。此外，据称策划欺诈行为的亨特·怀斯（Hunter Wise）商品被指控自去年7月以来获得了4600万美元的客户资金。

据称，被告声称他们正在向零售商品交易中的零售客户出售实物金属，并将为购买价格的余额安排贷款。客户应该以一定量的金属的全部购买价格的25％的付款来减少付款，这些金属将放置在安全的存放处。但是，CFTC认为，不仅在投资合同中发现了某些陈述，而且交易仅仅是纸质交易，而没有实际的金属。

Defendants to Pay $1.8M in Off-Exchange Foreign Currency Scheme
在采取CFTC反欺诈执行诉讼之后，已针对外汇资本交易伙伴，Inc。，外汇资本交易集团公司和Highland Stone Capital Management，LLC发出了永久禁令和违约判决130万美元和裁员450,764美元，以使欺诈的客户受益。委员会表示，这三家公司向106个投资超过280万美元的外汇交易投资的客户进行了欺诈性招标。

These solicitations were allegedly made with false claims that they were engaging in this type of trading had been profitable for several years, including a falsely reported 51.94% customer gain in 2010, which was a year when the investors actually lost over 1.2M. In fact, says the Commission, customers actually lost over 93% of total invested principal via the defendants’ customer trading.

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更多博客文章：
CFTCCommissioner Proposes Plan to Give Futures Customers SIPC-Like Protections，股票经纪人欺诈博客，2012年8月14日

CFTC对TC信贷服务及其休斯顿所bob200体育有者的证券欺诈提交了140万美元的商品池骗局，股票经纪人欺诈博客，2012年7月17日
SEC和CFTC表示，他们发现了摩根大通的2B美元交易损失，，，，Stockbroker Fraud Blog, May 31, 2012
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