Displaying results 1071 - 1080 of 2823
CFTC Announces Departure of Enforcement Director David Meister
… October 1, 2013 CFTC Announces Departure of Enforcement Director David … of enforcement actions covering the full range of the CFTC’s authority, including the first-ever charges under the Dodd-Frank Wall Street Reform and Consumer … CFTC Announces Departure of Enforcement Director David …
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CFTC Obtains Default Judgment against Lincolnshire Trading Partners, LLC and Scott Geisinger for Violating CFTC Registration Requirements
… January 18, 2013 CFTC Obtains Default Judgment against Lincolnshire Trading Partners, LLC and Scott Geisinger for Violating CFTC Registration Requirements Defendants each ordered to … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Percy Anderson of the U.S. …
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CFTC Closes Investigation Concerning the Silver Markets
… September 25, 2013 CFTC Closes Investigation Concerning the Silver Markets … Washington, DC – The Commodity Futures Trading Commission (CFTC or Commission) Division of Enforcement has closed the … markets. The Division of Enforcement is not recommending charges to the Commission in that investigation. For law …
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Federal Court in Texas Orders Dallas-based Steven Lyn Scott to Pay $766,625.30 in Restitution and a $700,000 Penalty to Settle Charges of Solicitation Fraud, Misappropriation, and Registration Violations in Connection with a Forex Commodity Pool Scheme
… $766,625.30 in Restitution and a $700,000 Penalty to Settle Charges of Solicitation Fraud, Misappropriation, and … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the … provisions of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. Scott has never been …
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CFTC AND STATE OF CALIFORNIA CHARGE SAN FRANCISCO FOREIGN CURRENCY FIRM NATIONAL INVESTMENT CONSULTANTS, INC. AND OTHER COMPANIES AND INDIVIDUALS WITH FRAUD; Federal Court Freezes Assets of National Investment Consultants, Inc.; South China Investments, Inc.; Pacific Best Group Limited, a.k.a. Pacific Best Company Ltd.; Run Ping Zhou, a.k.a Flora Zhou; Yi Kerry Xu; and Wei M. Tse, a.k.a. Raymond Tse
… CFTC AND STATE OF CALIFORNIA CHARGE SAN FRANCISCO FOREIGN …
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CFTC Seeks to Revoke Registration of Growth Capital Management LLC Based on CFTC Anti-Fraud Action
… August 24, 2012 CFTC Seeks to Revoke Registration of Growth Capital Management LLC Based on CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity … Sr. was convicted and incarcerated on federal wire fraud charges, served 27 months and, while on a three-year …
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Case Status Report: Gordon Driver and Axcess
… Case Status Report: Gordon Driver and Axcess The CFTC filed a Federal injunctive complaint against Gordon A. … action on the same day (Case No. 09-CV-3410 ODW (RZx)). The CFTC’s complaint charges that Defendants engaged in a fraudulent commodity … The CFTC filed a Federal injunctive complaint against Gordon A. …
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CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation
… January 13, 2016 CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation Washington, DC – The U.S. … today issued an Order filing and simultaneously settling charges against Otkritie Capital International, Ltd. (OCI), …
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CFTC Releases Annual Enforcement Results for Fiscal Year 2015
… November 6, 2015 CFTC Releases Annual Enforcement Results for Fiscal Year … DC - The U.S. Commodity Futures Trading Commission (CFTC) today released the agency’s enforcement results for … As with the Sarao matter, discussed above, the manipulation charges were, in part, brought using the CFTC’s new …
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CFTC Orders TD Bank to Pay $4 Million for Supervision Failures Impacting its Electronic Communications Surveillance System
… today issued an order simultaneously filing and settling charges against The Toronto Dominion Bank (TD Bank), a … supervise activities related to its business as a CFTC registrant, specifically, its electronic communications … penalty, cease and desist from further violations of the CFTC’s supervision requirements, and comply with conditions …
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