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U.S. Futures Exchanges Disciplinary Actions Report - March 2017

USA - April 17 2017 A non-member entity was found to have entered into an EFRP transaction on December 1, 2014 that was in violation of Exchange Rule 538.C. No evidence…

David Perlman, Jennifer T. Gordon, Michael Brooks, Robert E. Pease.

U.S. Futures Exchanges Disciplinary Actions Report - February 2017

USA - March 14 2017 On January 5, 2017, CME Group’s Market Regulation Department summarily denied a member’s direct and indirect access to the CME Globex electronic…

David Perlman, Jennifer T. Gordon, Michael Brooks, Robert E. Pease.

U.S. Futures Exchanges Disciplinary Actions Report - January 2017

USA - February 13 2017 In August a non-member firm was alleged to have failed to respond to Exchange staff requests for information related to an investigation. Accordingly…

David Perlman, Jennifer T. Gordon, Michael Brooks, Robert E. Pease.

U.S. Futures Exchanges Disciplinary Actions Report - December 2016

USA - January 5 2017 At the close of business on a single day in September 2016, a member firm held a short position which was 38.4% over the standard expiration month…

David Perlman, Jennifer T. Gordon, Michael Brooks, Robert E. Pease.

U.S. Futures Exchanges Disciplinary Actions Report - November 2016

USA - December 19 2016 Between November 2014 and March 2015, a member trader, with no intent to trade, entered or layered orders in futures contracts in order to motivate…

David Perlman, Jennifer T. Gordon, Michael Brooks, Robert E. Pease.