Displaying results 1091 - 1100 of 2823
… Futures Trading Commission today filed and settled charges against Citibank, N.A. and Citigroup Global Markets … Citi for violating the cease and desist provision of a 2017 CFTC order relating to reporting and supervisory failures. [See CFTC Press Release No. 7616-17 ] The order imposes a $1 …
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… CFTC/NASAA Investor Alert: Foreign Exchange Currency Fraud … to forex offers. The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators … convictions. PIC’s president is currently incarcerated on charges stemming from his forex scam. In 2004, Gregory Blake …
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… June 20, 2011 CFTC Obtains Default Judgment and Permanent Injunction … Group aka ForInvests Group LLC for Violating Multiple CFTC Registration Requirements ForInvest ordered to pay a … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James B. Zagel of the U.S. …
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… November 21, 2016 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 … Filed 68 Notes: Some cases involve multiple types of charges, but are listed above by the primary charges. For …
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… announced two orders filing and simultaneously settling charges against two swap execution facilities (SEFs), BGC … Principles, and against BGC SEF for also violating a prior CFTC order. The SEFs admit the facts in the orders and … remedial undertakings, including submitting reports to the CFTC, attested to by their respective chief compliance …
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… Washington, D.C. — CFTC Commissioner Caroline D. Pham announced today that … enable progress on the many significant issues facing the CFTC at this important time.” Meghan Tente, Chief of Staff … office after serving in multiple leadership roles at the CFTC, including most recently as Acting Director of the …
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… November 22, 2017 CFTC Releases Annual Enforcement Results for Fiscal Year … Obtained Orders Imposing $413 Million in Monetary Sanctions CFTC Enforcement Activity Includes Significant … of the other enforcement actions involve multiple types of charges, but are listed above by the primary charges. For …
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… enforcement program, including high-priority areas,” said CFTC Acting Director of Enforcement Vincent McGonagle. … advance the Commission’s enforcement efforts, even if the CFTC does not ultimately charge the specific violations the … the whistleblower may be eligible for an award.” About the CFTC’s Whistleblower Program The CFTC’s Whistleblower …
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… space, by issuing orders simultaneously filing and settling charges against Opyn, Inc ., a Delaware-registered company … desist from violating the Commodity Exchange Act (CEA) and CFTC regulations, as charged. “Somewhere along the way, DeFi … on a registered exchange in accordance with the CEA and CFTC regulations . Opyn unlawfully operated a facility for …
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… today issued an order simultaneously filing and settling charges against Tether Holdings Limited, Tether Limited, … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. The CFTC today also issued a separate order simultaneously …
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