December 28, 2016

The CFTC filed a civil enforcement action against Brett G. Hartshorn for fraudulently soliciting/managing at least $906,000 to invest in off-exchange foreign currency. Hartshorn is charged with misappropriating at least $57,414 of client funds, failing to register with the CFTC as a Commodity Trading Advisor, and failing to produce books and records to the agency. CFTC

Tagged in: Fraud in CFTC-Regulated Markets, Regulatory Violations,