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Federal Court In Florida Imposes Over $35 Million In Sanctions Against Florida Company AmeriFirst Management LLC And Its Principals, John P. D’Onofrio, George E. Sarafianos, And Scott D. Piccininni, For Fraudulent Precious Metals Scheme

Date 07/08/2014

The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Supplemental Consent Order requiring Defendants John P. D’Onofrio of Fort Lauderdale, Florida, George E. Sarafianos of Lighthouse Point, Florida, Scott D. Piccininni of Fort Lauderdale, Florida, and their Florida company AmeriFirst Management LLC jointly and severally to pay more than $25 million in restitution and a $10 million civil monetary penalty in connection with operating a fraudulent precious metals scheme (see CFTC Press Release and Complaint 6655-13 , July 30, 2013).
SEC Charges Former CEO Of ConvergEx Subsidiary In Scheme To Deceive Customers About Trading Fees

Date 07/08/2014

The Securities and Exchange Commission today charged the former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC for deceiving brokerage customers with hidden fees to buy and sell securities.
CBOE Risk Management Conference Returns To Europe September 3 - 5 - Top Institutional Derivatives And Volatility Traders To Gather In Ireland For The 3rd Annual CBOE RMC Europ

Date 07/08/2014

The Chicago Board Options Exchange (CBOE) and CBOE Futures Exchange (CFE) will host the CBOE Risk Management Conference (RMC) Europe, from September 3 through 5, 2014, at the Powerscourt Hotel in Enniskerry, County Wicklow, Ireland.
UK's Financial Conduct Authority: Temporary Restriction In Short Selling

Date 07/08/2014

The Financial Conduct Authority (“FCA”) notifies that it temporarily prohibits short selling in the following instrument under Articles 23 (1) and 26 (4) of Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012. This follows a decision made by another EU Competent Authority.
BATS Exchange Welcomes Two New Proshares Exchange-Traded Funds - ProShares TYTE And WYDE Begin Trading Thursday

Date 07/08/2014

BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, today announced that the ProShares CDS North American HY Credit ETF (BATS: TYTE) and the ProShares CDS Short North American HY Credit ETF (BATS: WYDE) begin trading today on BATS Exchange.

MIAX Options Exchange - MIAX Price Improvement Mechanism (PRIME™) Auction Related Transaction Fees And Rebates

Date 07/08/2014

The MIAX Options Exchange has filed for immediate effectiveness a filing to amend the MIAX Options Fee Schedule to adopt transaction fees and rebates for Members that participate in the MIAX Price Improvement Mechanism (PRIME™) Auction pursuant to Rule 515A. The Exchange proposes to implement the new PRIME Auction transaction fees and rebates beginning August 8, 2014.
ETFGI’s Analysis Finds ETFs And ETPs Listed In Japan Reached US$91.5 Billion In Assets, A New Record High, At The End Of July 2014

Date 07/08/2014

The ETF/ETP industries in Europe, in Japan and globally have gathered record levels of YTD NNA at US$42.7 Bn, US$14.9 Bn and US$160.5 Bn, respectively. New record highs in assets were reached at the end of July by ETF/ETP industries in Canada with US$66 Bn, Asia Pacific (ex-Japan) with US$103 Bn and Japan with US$91.5 Bn.
TMX Group Equity Financing Statistics - July 2014: Toronto Stock Exchange, TSX Venture Exchange

Date 07/08/2014

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for July 2014.
ETFGI’s Analysis Finds ETFs And ETPs Listed In The United States Gathered US$19.1 Billion In Net New Assets In July 2014

Date 07/08/2014

ETFGI’s analysis finds ETFs and ETPs listed in the United States gathered US$19.1 Bn in net new assets in July and YTD have gathered US$92.3 Bn, which is below the US$115.8 Bn in NNA at this point in 2013. Assets have decreased slightly by 0.9% from a record high of US$1.86 Tn at the end of June to US$1.84 Tn at the end of July 2014. The US ETF/ETP industry had 1,630 ETFs/ETPs, with 1,630 listings, from 62 providers listed on 3 exchanges, according to preliminary data from ETFGI’s end July 2014 Global ETF and ETP industry insights report.
Federal Court Orders Florida Resident Lawrence Scott Spain And His Florida Company, Palm Beach Capital LLC, To Pay More Than $520,000 In Restitution For Engaging In Illegal, Off-Exchange Precious Metals Transactions

Date 07/08/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on August 4, 2014, Judge Beth Bloom of the U.S. District Court for the Southern District of Florida entered a Consent Order for Permanent Injunction against Florida resident Lawrence Scott Spain and his company, Palm Beach Capital LLC (PBC) (the Defendants), for engaging in illegal, off-exchange precious metals transactions. The Order requires the Defendants, jointly and severally, to pay restitution of $526,960; imposes permanent trading, solicitation and registration bans against them; and prohibits them from engaging in illegal, off-exchange retail commodity transactions, as charged. Spain’s last known address was in Boca Raton, Florida.