Displaying results 1001 - 1010 of 2823
CFTC Releases Annual Enforcement Results
… customers and ensuring market integrity. In FY 2022, the CFTC obtained orders imposing over $2.5 billion in … supervision and misconduct related to digital assets, the CFTC filed 82 enforcement actions and continued to devote … disruption, and growing retail investor participation, the CFTC continues its unwavering commitment to a robust …
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CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC’s Division of Enforcement
… today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for failure to … disruptive and for material omissions in a letter to the CFTC’s Division of Enforcement (DOE). The CFTC order requires Goldman to pay a $3 million civil …
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U.S. Commodity Futures Trading Commission Obtains Permanent Injunction against Seattle, Washington Man Charged with Solicitation Fraud for the Second Time
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that Judge John A. Nordberg of the … for registration or exemption from registration with the CFTC. In addition, the order requires Ownbey to pay $269,852 … to his customers and a civil monetary penalty of $345,000. (CFTC v. Cameron Ownbey d/b/a Ultimus and First National …
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Customer Alert Regarding CFTC v. Brisco
… email inquiries regarding this case to DOEcustomerinquiry@cftc.gov . The complaint was filed in the U.S. District … Michael Shannon Sims . [Civil Action No. 23-cv-00336] [See CFTC Press Release No. 8665-23 ] In its continuing litigation, the CFTC seeks full restitution to defrauded pool participants, …
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CFTC FILES ENFORCEMENT ACTION AGAINST U.S. SECURITIES & FUTURES CORP. (USSFC), JUSTUS ENTERPRISES, INC., THOMAS WHITE, NANCY BELLASSAI, JOHN HING, MICHAEL SKRABLE AND DANIEL REYNOLDS, CHARGING THAT THEY PARTICIPATED IN A FOREIGN BROKER’S MULTI-MILLION DOLLAR TRADE ALLOCATION FRAUD; CFTC Also Alleges, Among Other Things, That USSFC, Hing, White, Bellasai, Huaya Lu Tung, Thomas Gong, Jiping Wu, and Bellasai Failed to Supervise Diligently USSFC and Its Employees
… CFTC FILES ENFORCEMENT ACTION AGAINST U.S. SECURITIES & … BROKER’S MULTI-MILLION DOLLAR TRADE ALLOCATION FRAUD; CFTC Also Alleges, Among Other Things, That USSFC, Hing, …
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Customer Advisory: 10 Things to Ask Before Buying Physical Gold, Silver, or Other Metals
… or Other Metals The Commodities Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority … or otherwise support themselves. Over the past decade, the CFTC has charged numerous companies with selling overpriced … advice and they might be required to register with the CFTC , SEC , FINRA or your state regulator . Ask them …
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Temporary Restraining Order Blocks Arizona Criminal Enforcement Proceedings on Prediction Markets
… barring Arizona from continuing to pursue criminal charges against CFTC-regulated designated contract markets. This follows … last week’s filing of a complaint against Arizona by the CFTC seeking an injunction barring Arizona from attempting …
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Chicago-Based Floor Broker Craig Taffel Pays $180,000 Civil Monetary Penalty to Settle Charges that He Acted as an Unregistered Futures Commission Merchant
… Craig Taffel Pays $180,000 Civil Monetary Penalty to Settle Charges that He Acted as an Unregistered Futures Commission … DC — The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously … commission merchant (FCM) without being registered. The CFTC order imposes a $180,000 civil monetary penalty on …
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CFTC Orders Brazilian and Swiss Sugar Companies to Pay $750,000 for Wash Sales
… today issued an order simultaneously filing and settling charges against respondents Raizen Energia SA , a Brazilian … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. Case Background The order … diligently supervise Raizen’s ICE-related activities. The CFTC thanks ICE Futures U.S. for its assistance. The …
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U.S. Commodity Futures Trading Commission Charges Washington State Man and His Companies with Defrauding Customers in Retail Foreign Currency Options Scheme
… August 2, 2007 U.S. Commodity Futures Trading Commission Charges Washington State Man and His Companies with … D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a civil enforcement … to purchase foreign currency (forex) options contracts. The CFTC complaint alleges that, beginning in or about January …
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