September 21, 2016
Posted September 21, 2016
The CFTC ordered Chicago-based Advantage Futures LLC, its CEO Joseph Guinan, and former Chief Risk Officer William Steele to pay a $1.5 million penalty for supervision and risk management failures and making inaccurate statements in filings with the CFTC. CFTC
Tagged in: Fraud in CFTC-Regulated Markets, Misrepresentations, Regulatory Violations,