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Federal Court In North Carolina Orders Mitchell Brian Huffman To Pay $2.1 Million Penalty For Defrauding Customers Of More Than $3.2 Million In Commodity Pool Scheme

Date 24/03/2014

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court supplemental Consent Order requiring CFTC Defendant Mitchell Brian Huffman, of Charlotte, North Carolina, to pay a $2.1 million civil monetary penalty for operating a fraudulent commodity pool scheme that defrauded customers of more than $3.2 million in connection with exchange-traded commodity futures contracts (see CFTC Press Release 6183-12 , February 17, 2012). In an separate Order as part of Huffman’s criminal sentencing, Huffman was ordered to pay $3.2 million in restitution to defrauded customers (see United States v. Mitchell Bran Huffman, Case Number 3:1-cr-00246 RJC filed in the U.S. District Court for the Western District of North Carolina).
Perspectives On Strengthening Enforcement, SEC Chair Mary Jo White, Via Videoconference To The Annual Forum Of The Australian Securities And Investments Commission (ASIC), March 24, 2014

Date 24/03/2014

Thank you, Greg [Tanzer, ASIC Commissioner], for that kind introduction. I am sorry that I cannot be in Sydney, but fortunately technology allows me to be with you today from the SEC’s offices here in Washington. I am very honored to have been asked to give a keynote address at your annual forum.
CFTC Seeks Public Comment On ICE Swap Trade, LLC’s Self-Certification Of Package Trade Rule

Date 24/03/2014

The Commodity Futures Trading Commission (Commission) is accepting public comment, pursuant to § 40.6(c)(2) of the Commission’s regulations, on certain rule amendments self-certified by ICE Swap Trade, LLC (ICE Swap Trade) concerning the treatment of “package transactions.”
SEC Announces Agenda, Panelists For Cybersecurity Roundtable

Date 24/03/2014

The Securities and Exchange Commission today announced the agenda and panelists for its March 26 roundtable on the issues and challenges cybersecurity presents for market participants and public companies.
Federal Reserve Issues Full Corrected Results For The 2014 Dodd-Frank Act Stress Test

Date 24/03/2014

The Federal Reserve on Monday issued full corrected results for the 2014 Dodd-Frank Act stress test.

SEC Staff Analysis Of Data And Academic Literature Related To Money Market Fund Reform

Date 24/03/2014

The staff of the Securities and Exchange Commission today made available certain analyses of data and academic literature related to money market fund reform.
MGEX Climbs To Top Five Daily Open Interest Records

Date 24/03/2014

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reached the top five daily Exchange open interest records after Friday’s trade date.
CFTC Orders Morgan Stanley Capital Group Inc. To Pay $200,000 Penalty For Violating Soybean Meal Futures Speculative Position Limits

Date 24/03/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Morgan Stanley Capital Group Inc. (MSCGI) agreed to pay a $200,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in soybean meal futures contracts trading on the Chicago Board of Trade (CBOT).
Backlash Against Putin Impacts Palladium, As Disappointing Chinese PMI Figures Punish Copper Prices

Date 24/03/2014

The political backlash against Russia by the West surrounding the separation of Crimea from Ukraine leaves palladium exposed, according to an upcoming report from Viktor Nossek, Head of Research at Boost ETP the independent provider of short and leveraged ETFs.
SunGard Launches WealthStation PlanAdvisor To Help Advisors Achieve Growth In Managing 401(k) Plans

Date 24/03/2014

SunGard has launched WealthStation PlanAdvisor to help investment advisors and other plan fiduciaries serving qualified retirement plans grow their client base. WealthStation PlanAdvisor automates the investment process to help advisors and their co-fiduciaries collaboratively design investment line-ups and conduct fiduciary reviews, while maintaining compliance with regulations such as 404(a)(5) and 408(b)(2).