Commodity Futures Trading Commission (CFTC)

CFTC v. Credit Suisse International et al: $1.5M Fine

Administrative Order by the Commodity Futures Trading Commission imposing a fine of $1.5 million on Credit Suisse International, of London, England; Credit Suisse Securities Europe Limited, of London, England, and Credit Suisse Capital LLC, of New York, NY, for regulatory breaches, specifically submitting "inaccurate daily valuation data for the majority of their equity swap transactions".

Coinbase Inc.: $6.5M Fine

Administrative Order by the Commodity Futures Trading Commission imposing a fine of $6.5 million on Coinbase, Inc., described as a San Francisco-based "digital asset company", for "recklessly delivering false, misleading or inaccurate reports concerning transactions in digital assets, including Bitcoin, on the electronic trading platform it operated, GDAX".

JPMorgan Chase & Co. et al: $920M Penalty

Administrative Order imposing penalties totaling $920 million on JPMorgan Chase & Co., JPMorgan Chase Bank NA, and J.P. Morgan Securities LLC for "a pattern of spoofing in the precious metals futures market and in the U.S. Treasury futures market".

OTC Europe LLP: $120K Fine

Order vt the Commodity Futures Trading Commission imposing a fine of $120,000 on OTC Europe LLP, of England, for regulatory breaches.

OANDA Corporation: $500K Fine

Administrative Order imposing a fine of $500,000 on OANDA Corporation, of Toronto, Canada, before the Commodity Futures Trading Commission.

The Bank of Nova Scotia: $60M Penalties

Spoofing Order imposing financial penalties totaling $60.4 million on The Bank of Nova Scotia, before the Commodity Futures Trading Commission.

The Bank of Nova Scotia: $17M Fine

False Statements Order imposing a fine of $17 million on The Bank of Nova Scotia, before the Commodity Futures Trading Commission.

Interactive Brokers LLC: $12.2M Penalties

Administrative Order imposing penalties totaling $12.2 million on Interactive Brokers LLC, of Greenwich, Connecticut, for regulatory breaches involving client accounts that were used for fraud, before the Commodity Futures Trading Commission.

Gain Capital UK Ltd.: $250K Fine

Order Instituting Proceedings and Imposing Penalties on Gain Capital UK Limited, of the United Kingdom, before the Commodity Futures Trading Commission.

XBT Corp. Sarl: Findings & Sanctions (CFTC)

Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions for failing to register as a Futures Commission Merchant against XBT Corp. Sarl, d.b.a. First Global Credit, a cryptocurrency exchange firm domiciled in Switzerland, before the Commodity Futures Trading Commission.

Rafael Marconato: Sanctions

Order Instituting Proceedings, Making Findings and Imposing Remedial Sanctions regarding fraud against Rafael Marconato, described as a current rersident of Limeira, São Paulo, Brazil and a former resident of Miami, Florida, before the U. S. Commodity Futures Trading Commission.

Curtis Dalton: Sanctions

Findings and Sanctions by the U. S. Commodity Futures Trading Commission regarding Curtis Dalton, of Massachusetts, d.b.a. Binary International, a binary options trader who "did business pursuant to an agreement with a British Virgin Islands company located in Cyprus".