Displaying results 1081 - 1090 of 2823
… today issued two orders simultaneously filing and settling charges against The Toronto Dominion Bank (TD Bank), a swap … Cowen and Company (Cowen), previously registered with the CFTC as an introducing broker, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently …
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… May 20, 2010 CFTC Reestablishes Technology Advisory Committee O’Malia to … (May 20, 2010) – The Commodity Futures Trading Commission (CFTC) yesterday approved the reestablishment of a Technology … CFTC Reestablishes Technology Advisory Committee …
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… January 19, 2017 CFTC’s Enforcement Division Issues New Advisories on … DC – The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Enforcement today issued two new … whether enforcement action is warranted, the nature of charges that should be brought, and the appropriate level of …
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… November 13, 2014 CFTC Sanctions Rosenthal Collins Group for Supervision … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Rosenthal Collins Group, LLC (RCG), a … CFTC Sanctions Rosenthal Collins Group for Supervision …
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… money for illegal activities can lead to criminal and civil charges. If you are approached online and asked to move … field office . You can also submit a tip or complaint at CFTC.gov/complaint . Protecting the Public The CFTC has participated in an international money mule …
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… $1 million to two whistleblowers whose information led the CFTC to bring a successful enforcement action. Both … significant information and substantial assistance to CFTC staff during the underlying investigation. While each … information supported and ultimately led to different charges the CFTC brought in the enforcement action, the CFTC …
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… Release: 5618-09 For Release: February 24, 2009 CFTC Applauds Increased Funding Level for the Agency … $146,000,000 for the Commodity Futures Trading Commission (CFTC). Commenting on this action, CFTC Acting Chairman Michael V. Dunn said: “At every … CFTC Applauds Increased Funding Level for the Agency …
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… today issued an order filing and simultaneously settling charges against Aspire Commodities LLC (Aspire) for … from further violations of the Commodity Exchange Act and CFTC regulations. Aspire admits the facts in the order. Case … limits in cash-settled reference NG futures contracts. The CFTC thanks IFED and Nodal exchanges for their assistance in …
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… January 4, 2007 U.S. Commodity Futures Trading Commission Charges Stephanie Ann Gallitano and Her Companies, Financial … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the recent unsealing of a complaint … FRM have a single office in Fort Lauderdale, Florida. The CFTC’s complaint alleges fraud in connection with foreign …
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… today issued an order simultaneously filing and settling charges against Interactive Brokers LLC , a registered … Interactive Brokers to cease and desist from violating the CFTC regulation addressing supervision, pay $710,828.14 in … CFTC Orders Interactive Brokers LLC to Pay Over $1 Million …
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