Displaying results 1031 - 1040 of 2823
Federal Court Enters Permanent Injunction Against Peken Global Limited
… and order-matching system without registering with the CFTC as a foreign board of trade.  The order … civil monetary penalty.  The order also states that the CFTC is not seeking, and the court is not imposing, … of this case. These include Peken Global’s cooperation in a CFTC investigation and related proceedings, including the …
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Marathon Petroleum Company LLC Agrees to Pay $1,000,000 Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation in Crude Oil Markets
… Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation in Crude Oil Markets CFTC Order Finds That Marathon Petroleum Company LLC … D.C. – The U.S. Commodity Futures Trading Commission (CFTC) today announced the issuance of an order filing and …
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Federal Court in Florida Orders James Burbage, Frank Gaudino, and Their Companies to Pay over $5 Million in Restitution and Penalties to Settle Charges Related to Illegal, Off-Exchange Precious Metals Transactions
… Pay over $5 Million in Restitution and Penalties to Settle Charges Related to Illegal, Off-Exchange Precious Metals … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Donald M. Middlebrooks of the … , and Lloyds Services, LLC (the Lloyds Defendants), who the CFTC had sued for their role in a multi-million dollar …
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CFTC Releases Enforcement Division’s Annual Results
… October 5, 2012 CFTC Releases Enforcement Division’s Annual Results Agency … actions, the highest number of cases ever for the CFTC in one year, bringing the two-year total to more than … and Position Limits In a landmark case, the Division filed charges against Barclays PLC and two affiliates for …
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Federal Court Imposes $260,000 in Civil Penalties against Austin, Texas Resident Steven Leigh Shakespeare and His Company, Guardian Futures, Inc., Both Charged with Fraud and Unauthorized Trading
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained $260,000 in civil … Inc. (GFI), an Austin, Texas introducing broker, in a CFTC anti-fraud action. The orders of permanent injunction, … District Court for the Western District of Texas, resolve a CFTC enforcement action filed in April, 2009, that charged …
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Testimony of Chairman Michael S. Selig Before the U.S. House Committee on Agriculture
… America the crypto capital of the world. Importantly, the CFTC joined an SEC interpretation to provide guidance that … that are regulated under the exclusive jurisdiction of the CFTC. Commission staff recently issued a prediction markets … markets that work for everyone. Under my leadership, the CFTC will administer fit-for-purpose regulation …
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CFTC Releases Enforcement Division’s Annual Results
… October 24, 2013 CFTC Releases Enforcement Division’s Annual Results Agency … Washington, DC - The Commodity Futures Trading Commission (CFTC) today announced that it filed 82 enforcement actions … • The Commission simultaneously filed and settled charges against UBS, finding that it engaged in …
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Federal District Court in New York Enters Order of Permanent Injunction against Defendants Agape World, Inc. and Agape Merchant Advance LLC, Charged with Defrauding Customers in Commodity Futures Trading Scheme
… Merchant Advance LLC (the Agape Entities), charged by the CFTC with defrauding customers of tens of millions of dollars in a commodity futures trading scheme (see CFTC Press Release 5606-09 , January 27, 2009). The Consent … engaging in any commodity-related activity. In 2009, the CFTC charged the Agape Entities and Defendant Nicholas Cosmo …
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CFTC Orders J.P. Morgan to Pay $200 Million for Supervision Failures
… today issued an order simultaneously filing and settling charges against J.P. Morgan Securities LLC , a registered … for failing diligently to supervise its business as a CFTC registrant, resulting in J.P. Morgan failing to capture … that its conduct in those sections violated the CFTC regulations; and otherwise neither admits nor denies …
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Federal Court Orders Two Florida Men and Their Companies to Pay More than $3.3 Million in Restitution and Penalties to Settle Charges Stemming from Role in Illegal, Off-Exchange Precious Metals Transactions
… than $3.3 Million in Restitution and Penalties to Settle Charges Stemming from Role in Illegal, Off-Exchange Precious Metals Transactions The CFTC Sued John King and Newbridge Alliance, Inc., and David … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on February 26, 2014, Judge …
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