Displaying results 1061 - 1070 of 2823
… in response to the COVID-19 (coronavirus) pandemic, the CFTC has observed a growing trend of precious metals … unless the company is registered as an exchange with the CFTC, or actually delivers the metal within 28 days, this … these leveraged transactions include high interest charges and a form of speculation that could cause customers …
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… his business as a CTA without being registered with the CFTC as required. According to the order, Hendershott was … arranged to have his clients open accounts with a CFTC-registered futures commission merchant, and he assisted … CFTC Orders Wisconsin Man to Pay Civil Monetary Penalty for …
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… announcing that the Commodity Futures Trading Commission (CFTC) had surpassed $1 billion in civil monetary penalties … on financial institutions that failed to comply with CFTC recordkeeping requirements through the use of offline, … Exchange Act and CFTC Regulations. The order also charges Interactive Brokers with a failure to supervise its …
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… the views of the Commodity Futures Trading Commission (CFTC), its Commissioners, or CFTC staff. It’s a true thrill to be here. Most of my … to the community. We responded by issuing an order settling charges against the founders and the DAO’s predecessor … at the City Bar White Collar Institute: “Trends in the CFTC’s Recent Crypto Enforcement Actions” …
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… September 27, 2013 CFTC Orders Vision Financial Markets LLC to Pay a $525,000 … Fund Segregation Requirements, Failure to Notify the CFTC of its Under-Segregation, and Misstatements to the CFTC … today issued an Order filing and simultaneously settling charges against Vision Financial Markets LLC (Vision), for …
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… April 13, 2012 CFTC Revokes Registration of Robert Wayne Mansell Chicago … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a Notice of Intent to … privileges at the Chicago Board of Trade since 1989. The CFTC simultaneously issued an Opinion and Order (Order), …
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… The order also permanently bans Clark from trading and CFTC registration. The consent order resolves all claims the CFTC brought against Clark in the complaint filed in February 2022 [See CFTC Press Release No. 8490-22 ]. The CFTC previously …
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… Washington, D.C. — Today, CFTC Division of Enforcement Director Ian McGinley released the following statement on the CFTC’s sweeping victory in the Ooki DAO litigation. Last … Ooki DAO, a decentralized autonomous organization that the CFTC charged with operating an illegal trading platform and …
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… May 1, 2015 CFTC Sanctions FCStone, LLC for Supervision Violations Firm … DC — The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and simultaneously settling charges against FCStone, LLC, a CFTC-registered Futures … CFTC Sanctions FCStone, LLC for Supervision Violations …
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… today issued an order simultaneously filing and settling charges with Canadian Imperial Bank of Commerce (CIBC), a … and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to its business as a CFTC registrant. The order imposes a $30 million civil …
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