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CFTC Obtains Default Judgment And Permanent Injunction Against Arizona Resident Cory Williams And His Company, Williams Advisory Group, LLC, For Commodity Pool Fraud - Federal Court Orders Gilbert Resident Cory Williams And Williams Advisory Group, LLC To Pay More Than $19.4 Million In Restitution And A Civil Monetary Penalty

Date 13/04/2018

The Commodity Futures Trading Commission (CFTC) announced that Judge John J. Tuchi of the U.S. District Court for the District of Arizona entered an Order of Default Judgment and Permanent Injunction against Defendants Cory Williams of Gilbert, Arizona, and his company, Williams Advisory Group, LLC (WAG), in connection with a commodity pool fraud that victimized 40 pool participants, including Williams’ family, friends, neighbors, and members of his church and other related churches in and around Phoenix, Arizona.
OCC Re-Elects Craig Donohue As Executive Chairman, Elects Member And Public Directors At 2018 Stockholder Meeting

Date 12/04/2018

OCC, the world's largest equity derivatives clearing organization, today announced the election of three Class II Member Directors and two Class III Public Directors to its Board of Directors. In addition, Mr. Craig S. Donohue was re-elected as Executive Chairman of the Board. The vote took place during OCC's annual stockholder meeting on April 11.
IHS Markit Named Independent Benchmark Administrator For Danish Bond Indices From Nordea Bank

Date 12/04/2018

IHS Markit (Nasdaq: INFO), a world leader in critical information, analytics and solutions, today announced that it has been appointed as the independent benchmark administrator for Danish bond indices from Nordea Bank, the largest financial services group in the Nordic region.
SEC Awards Whistleblower More Than $2.1 Million

Date 12/04/2018

The Securities and Exchange Commission today announced a whistleblower award of more than $2.1 million to a former company insider whose information led to multiple successful enforcement actions. The whistleblower’s information strongly supported the findings in the underlying actions and the whistleblower provided ongoing assistance to the staff during the investigation.
Canadian Securities Regulators Outline Disclosure Expectations For Real Estate Reporting Issuers

Date 12/04/2018

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 52-329 Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry. The notice details findings of a recent review and provides additional guidance on disclosure expectations relating to distributions and non-GAAP financial measures for real estate reporting issuers.

Investors Beware: Fraudsters Are Misrepresenting Themselves As IIROC-Regulated Investment Dealers - IIROC Warns Against Illegal Sales Of Binary Options And Attempted Identity Theft

Date 12/04/2018

The Investment Industry Regulatory Organization of Canada (IIROC) today warned Canadian investors not to be fooled by fraudsters attempting to illegally sell binary options under the guise of legitimate investment dealer firms regulated by IIROC.
Canadian Securities Regulators Seek Comment On Soliciting Dealer Arrangements

Date 12/04/2018

The Canadian Securities Administrators (CSA) today published for comment CSA Staff Notice 61-303 and Request for Comment Soliciting Dealer Arrangements. The notice outlines regulatory issues raised by soliciting dealer arrangements and seeks input on the practice, which generally involves an issuer paying a dealer to successfully solicit securities from a securityholder in connection with corporate transactions.
FINRA, BOX, Cboe, IEX, NASDAQ And NYSE Fine Instinet, LLC For Market Access Rule Violations

Date 12/04/2018

Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules. The action was taken by the Financial Industry Regulatory Authority (FINRA), along with BOX Options Exchange LLC (BOX); the Cboe BZX Exchange, Inc.; Investors Exchange LLC (IEX); The NASDAQ Stock Market LLC; the New York Stock Exchange; and certain of their affiliated Exchanges (collectively, “Exchanges”). The fine was apportioned among FINRA and the Exchanges.
CFTC Charges New York Residents Kevin Whylie And Matthew Zecchini And Their Company, Algointeractive Inc, With Commodity Pool Fraud, Misappropriation, And Registration Violations

Date 12/04/2018

The Commodity Futures Trading Commission (CFTC) yesterday filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Kevin P. Whylie of Mamaroneck, New York; Matthew James Zecchini of East Islip, New York; and Algointeractive Inc, a New York corporation owned and controlled by Whylie and Zecchini. The CFTC Complaint charges that, from approximately April 2016 through the present, Defendants engaged in a fraudulent scheme to solicit at least $300,000 from members of the public to participate in a pooled investment vehicle for futures trading, misappropriated and commingled commodity pool participants’ funds, issued false account statements to pool participants to conceal their trading losses and misappropriation, engaged in false advertising, and failed to register with the CFTC, as required.
Unauthorised Use Of ESMA’s Identity And Logo By A Named Individual

Date 12/04/2018

The European Securities and Markets Authority (ESMA) has been informed that an individual operating under the name “Edward Stewart” has used ESMA’s identity and logo. This individual is presenting himself as an employee of ESMA conducting investigations in order to steal personal data and convince the potential victims to transfer money.