Displaying results 1011 - 1020 of 2823
CFTC Orders Texas Company to Pay $100,000 for Failing to Register as an Introducing Broker
… today issued an order simultaneously filing and settling charges against Cost Management Solutions, LLC (CMS) , a … requires CMS to pay a $100,000 civil monetary penalty. The CFTC also orders CMS to cease and desist from further … A. Daniel Ullman II, and Paul G. Hayeck. * * * * * * The CFTC strongly urges the public to verify an individual or …
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CFTC FILES COMPLAINT IN HAWAII FEDERAL COURT AGAINST DAVID T. MARANTETTE, III AND TROUBADOUR, INC., CHARGING FRAUD IN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; Federal Court Enters a Consent Order of Preliminary Injunction Prohibiting Marantette and Troubadour from Engaging In Fraudulent Activities, Barring the Destruction of Documents, and Freezing the Defendants' Assets
… CFTC FILES COMPLAINT IN HAWAII FEDERAL COURT AGAINST DAVID …
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FEDERAL COURT FREEZES ASSETS OF SEATTLE FIRM AND FOUR OTHER DEFENDANTS CHARGED WITH INTERNATIONAL SCHEME THAT DEFRAUDED U.S. CUSTOMERS OF OVER $8.5 MILLION; CFTC Alleged That Premium Income Corp., Its Principal, Gerald Rogers, And Others, Made False Claims About Profit and Risk, And Misappropriated Funds; Rogers is a Recent Ex-Convict Who Served Time for Similar Crimes
… SCHEME THAT DEFRAUDED U.S. CUSTOMERS OF OVER $8.5 MILLION; CFTC Alleged That Premium Income Corp., Its Principal, …
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FEDERAL COURT FREEZES ASSETS OF FLORIDA FIRM AND FIVE INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $6 MILLION; CFTC Alleges that United Investors Group, Inc., Former Director Andrew D. Ross, CEO Paul F. Plunkett, and Traders Greg P. Allotta, Jay M. Levy, and Michael H. Savitsky III, Made False Claims that Customers Would Make Large Profits with Little Risk
… CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $6 MILLION; CFTC Alleges that United Investors Group, Inc., Former …
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ENCANA TRADING UNIT PAYS $20 MILLION TO SETTLE COMMODITY FUTURES TRADING COMMISSION CHARGES OF ATTEMPTED MANIPULATION AND FALSE REPORTING; WE Energy Services, Inc. (Formerly Known As Encana Energy Services, Inc.) Settles CFTC Claims That It Intentionally Reported False Natural Gas Trade Information To Energy Reporting Firms In An Attempt To Manipulate The Price Of Natural Gas Contracts
… $20 MILLION TO SETTLE COMMODITY FUTURES TRADING COMMISSION CHARGES OF ATTEMPTED MANIPULATION AND FALSE REPORTING; WE … (Formerly Known As Encana Energy Services, Inc.) Settles CFTC Claims That It Intentionally Reported False Natural Gas …
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Federal Court in Illinois Orders Michael Peskin to Pay More Than $480,000 and Imposes Other Sanctions to Settle Charges that Peskin Violated A Permanent Trading Ban
… More Than $480,000 and Imposes Other Sanctions to Settle Charges that Peskin Violated A Permanent Trading Ban … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John F. Grady of the U.S. … enjoining Michael Peskin from trading in violation of a CFTC trading ban. The Order was entered on July 24, 2013 and …
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FOIA
… listed but not available here, email FOIAsubmissions@cftc.gov . Provide your name, address, telephone number, and … records. Category File Number Subject (A) 26-00269 ROI No. CFTC-00170 (A) 25-00248 June 2026 (A) 25-00353 QCX / QCEX (A) 26-00198 SEC-CFTC Harmonization (A) 26-00142 Acceptable Use (A) 26-00120 …
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Arizona Federal Court Imposes More than $1.1 Million in Restitution and Monetary Sanctions on Helmut H. Weber, Charged with Fraud and Misappropriation in Foreign Currency Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court order imposing more than $1.1 … a $861,000 civil monetary penalty.  The order stems from a CFTC complaint filed on March 9, 2010, which alleged that … solicited customers to invest in forex trading (see CFTC press release 5794, March 11, 2010). The complaint also …
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U.S. Commodity Futures Trading Commission Charges South Carolinian Albert E. Parish, Jr. and His Company, Parish Economics, LLC in Multi-Million Dollar Commodity Pool Fraud
… April 19, 2007 U.S. Commodity Futures Trading Commission Charges South Carolinian Albert E. Parish, Jr. and His … D.C. — The U.S. Commodity Futures Trading Commission (CFTC) filed a complaint in the U.S. District Court for the … Economics) , both of Summerville, South Carolina. The CFTC has also filed a motion for preliminary injunction …
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French Company Banque CIAL Agrees to Pay Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges that it Engaged in Wash Sales in the Treasury Futures Markets
… Penalty to Settle U.S. Commodity Futures Trading Commission Charges that it Engaged in Wash Sales in the Treasury … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the issuance of an order filing and … Industriel et Commercial (CIC), a French banking group. The CFTC order finds that on June 30, 2004, a trader at Banque …
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