Displaying results 1051 - 1060 of 2823
Former BP Trader Paul Kelly Agrees to Pay $400,000 Civil Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation of the NYMEX Unleaded Gasoline Futures Contract
… Penalty to Settle U.S. Commodity Futures Trading Commission Charges of Attempted Manipulation of the NYMEX Unleaded Gasoline Futures Contract CFTC Order Finds that Kelly Attempted to Manipulate the … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and …
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CFTC Settles Enforcement Action in District Court against Daniel Shak for Violation of a CFTC Administrative Order
… March 30, 2015 CFTC Settles Enforcement Action in District Court against Daniel Shak for Violation of a CFTC Administrative Order Court Orders Shak to Pay a … pay a $100,000 civil monetary penalty to settle CFTC civil charges that Shak violated the terms of the CFTC Order. The …
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CFTC Permanently Revokes Registrations of Mississippi-based Commodity Trading Advisor and Associated Person
… of Ted Brent Alexander of Jackson, Mississippi. The CFTC filed a Notice of Intent to Revoke Registration … Act (CEA) against Alexander on March 13, 2024. [See CFTC Press Release No. 8876-24 ]. The CFTC action is based … Revokes Alexander’s Registrations Alexander, who admits the charges in the Notice of Intent, consented to the entry of a …
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CFTC Files Three Enforcement Actions Addressing Insider Trading; Forex Fraud; and Fraudulent Solicitation, Impersonation of a CFTC Investigator, and Forging CFTC Documents, All in Attempt to Steal Bitcoin
… September 28, 2018 CFTC Files Three Enforcement Actions Addressing Insider … Fraud; and Fraudulent Solicitation, Impersonation of a CFTC Investigator, and Forging CFTC Documents, All in … press releases linked below.  Actions Filed Today CFTC Charges Block Trade Broker with Insider Trading:  Broker’s …
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CFTC Orders Swap Dealer to Pay $1.5 Million Penalty for Position Limit Violations, and Supervision and Position Limit Monitoring Failures
… Commission today issued an order filing and settling charges against  Merrill Lynch Commodities, Inc., based in … in that section violated the Commodity Exchange Act and CFTC regulations; and otherwise, neither admits nor denies … comply with the business conduct standards in the CEA and CFTC regulations, including diligently supervising their …
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CFTC Issues FY 2008 Financial Report
… Release: 5585-08 For Release: December 17, 2008 CFTC Issues FY 2008 Financial Report Fourth Consecutive Clean Opinion for CFTC’s Audited Financial Statements Washington, DC – Commodity Futures Trading Commission (CFTC) Acting Chairman Walt Lukken announced today that, for …
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CFTC Orders California Resident to Pay $300,000 for a Fictitious Sales Scheme
… today issued an order simultaneously filing and settling charges against Jie “Elaine” Yu of Irvine, California, for … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and it imposes six-month … Yu violated the fictitious sales provisions of the CEA and CFTC regulations.  The CFTC thanks the CME Group for its …
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CFTC OBTAINS PRELIMINARY INJUNCTION PREVENTING FLORIDA COMMODITY TRADING FIRM, UNITED INVESTORS GROUP, INC. AND FIVE EMPLOYEES, FROM VIOLATING THE COMMODITY EXCHANGE ACT; Nearly 98 Percent Of Accounts Opened At UIG Between August 2003 And June 2004 Lost Money Trading Commodity Options; Customers Lost More Than $6.1 Million, While UIG Charged Over $4.25 Million In Commissions And Fees
… CFTC OBTAINS PRELIMINARY INJUNCTION PREVENTING FLORIDA …
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CFTC Orders Illinois Futures Commission Merchant to Pay More Than $980,000 for Supervision Failures
… Commission today issued an order filing and settling charges against NinjaTrader Clearing, LLC dba NinjaTrader, … Merchant that operates out of Deer Park, Illinois. The CFTC order finds NTC failed to have adequate policies and … in response to a statutory restraining order issued in CFTC v. Patel , Case No. 22-cv-80092 (S.D. Fla. 2022) .  The …
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CFTC Orders Unregistered Pool Operator and its Managing Member to Pay More than $520,000 for Fraud Violations
… today issued an order simultaneously filing and settling charges against Get Money Tradez LLC (GMT), and its managing … in restitution and a $262,000 civil monetary penalty. The CFTC also orders the respondents to cease and desist from … order permanently bans the respondents from trading in any CFTC-regulated markets and registering with the CFTC. Case …
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