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Futures Market Regulations

The futures markets are a highly regulated industry. There are some regulations you may want to know before you begin trading commodities or if you have a dispute with your commodity broker.

New Market Regulations to Protect Commodity Investors
Investor confidence in the commodity futures markets has taken a serious blow after the fallout of MF Global and PFG Best. In most industries, individuals usually aren’t hurt too much if a company goes bankrupt or even if the CEO embezzles all of the company’s money. However, individual investors were seriously affected in these cases. Most...

PFG Best Scandal Cost Investors $200 Million
On the heals of the massive MF Global scandal, PFG Best was able to deliver its share of shock value to the futures industry. MF Global was one of the big boys and had an ex-Goldman Sachs CEO running the company. They siphoned off $1.6 billion in customer funds and it was another case of Wall Street greed and arrogance. PFG Best, however,...

Is You Money Safe With a Commodity Broker
Commodity traders have enough trouble focusing on the markets and trying to churn out a profit. They shouldn’t have to worry about the money in their accounts being safe. After all, they send their money to government registered and regulated firms and that money is held in customer segregated accounts in large banks. What is there to worry...

Rosenthal Collins Group Misses Suspicious Activity
As far as futures clearing firms go, Rosenthal Collins Group is one of the more respectable firms in the business. However, Rosenthal was ordered to pay $2.5 million in April 2012 by the CFTC for failure to supervise its officers.

Beware of Precious Metals Buying Scheme
There are many legitimate companies that buy and store gold bullion for their customers. They have typically been around for a long time and have a good reputation. Recently, there have been a number of firms getting involved in this business and some of them are cutting corners or running complete frauds. There are some red flags to watch...

Customer Segregated Funds - Protection for Your Money
Customer segregated funds are held in seperate accounts from your broker for your protection. These funds are not to be comingled with the broker's accounts, but we recently saw a case with MF Global where regulations were broken.

Commodity Investments That Raise Red Flags To Investors
Commodity Investments That Raise Red Flags To Investors

Commodity Market Enforcement Actions
An excellent place to keep up on the latest unscrupulous acts in the commodities and futures markets is through the Commodity Futures Trading Commission’s website. The CFTC posts their most recent enforcement actions against commodity brokers and other participants under the CFTC’s enforcement umbrella who are accused or have violated the rules and regulations in the futures industry.

Filing a Complaint Against a Commodity Broker
Find out whether you have a legitmate complaint against a commodity broker and how you can file a complaint with the National Futures Association.

Perry Griggs of Aloha Trading Operates Commodities Ponzi Scheme From Prison
Perry Griggs operated a commodity trading Ponzi scheme while in federal prison, where he was already serving a sentence on a previous commodity trading Ponzi scheme. Perry and his wife Rachelle created Aloha Trading, where they managed to solicit about $3 million from fellow prisoners and their faimilies. They eventually lost or spent most of...

National Futures Association - Regulating the Futures Industry
The National Futures Association is a self regulating organization for the futures industry. The NFA creates and enforces rules and regulations on commodity and futures brokers and other futures professionals who deal with the public.

Increased Funding for the CFTC in 2008
The Commodity Futures Trading Commission received $112 million in funding for 2008.

Investor Protection
The National Futures Association helps protect futures traders and investors.

Foreign Currency Trading Frauds
The CFTC issued a warning to be aware of a growing number of fraud cases involving forex trading.

Online Customer Arbitration for Futures Trading Complaints
If you believe you've lost money because of unfair or improper treatment by an NFA member (broker), you probably can file an online arbitration claim at the NFA.

CFTC Online Complaint Form
You can use this online form to report suspicious activities or transactions which may involve the trading of commodity futures contracts.

CFTC Reparation Program - Filing A Dispute With A Commodity P…
The Commodity Futures Trading Commission (CFTC) has a Reparations Program that is meant to be a quick means to resolving customer disputes with commodities professionals.

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