PFG

CFTC probes 'spoofing,' Senate investigates Wall Street

Bernardo Mariano
November 20, 2014
Exchange shorts for Thursday, November 20, 2014.

Wasendorf will get the attention he so desperately craved

Daniel P. Collins
June 11, 2014
This was no small fraud. Coming on the heels in the MF Global debacle, it threatened the entire futures industry structure. One fraud and violation of customers segregated funds is an anomaly, two might be considered a trend.

From the ashes...

Ginger Szala
November 25, 2013
It’s ironic that I’m writing this on the day the insurance study commissioned by the industry after the MF Global and PFG blow ups was released. Ironic because if implemented in some form, it would mean more costs and more rules for futures commission merchants (FCMs) and probably their customers.

From the ashes...

Ginger Szala
November 24, 2013
December Editor's Note from Ginger Szala.

CFTC passes enhanced customer protection rules

Futures Staff
October 30, 2013
The Commodity Futures Trading Commission today approved rule amendments to enhance customer protection at futures commission merchants.

The Blotter: PFG accountant barred by CFTC

Ginger Szala
August 30, 2013
This week's round up of enforcement actions taken include finally taking action against PFG accountant

Peregrine Financial accountant barred from futures industry

Press Release
August 26, 2013
CFTC permanently bars accountant, Jeannie Veraja-Snelling, for failing to properly audit Peregrine Financial Group, Inc.

The Blotter: U.S. Bank hit with injunction due to PFG accounts

Ginger Szala
June 7, 2013
PFG's banker U.S. Bank finally gets CFTC attention, injunction

CFTC alleges U.S. Bank misused PFG customer segregated funds

Press Release
June 5, 2013
CFTC files complaint against U.S. Bank, N.A. alleging unlawful use of Peregrine Financial Group, Inc.’s customer segregated funds and violation of customer segregation laws.

Seg funds aren't sexy but...

Scott Skrym
April 30, 2013
How can we be assured seg funds are safe? Take a page from the securities site and introduce the Tri-party system.