Displaying results 1101 - 1110 of 2823
… today issued an order simultaneously filing and settling charges against Advantage Futures LLC , a registered futures … disruptive trading over a four-year period, in violation of CFTC regulations. The order requires Advantage to pay a … to ensure connectivity to exchange data feeds. The CFTC appreciates the assistance of the Quebec Autorité des …
Created on:
… today issued an order simultaneously filing and settling charges against Goldman Sachs & Co . The order finds Goldman … to properly record and retain certain audio files. [See CFTC Press Release No. 8086-19 ] The order requires … recordkeeping provisions of the Commodity Exchange Act and CFTC regulations, as charged. “As this case demonstrates, …
Created on:
… World Capital Group employee were arrested on federal fraud charges in connection with the operation of One World … monetary penalty for failing to demonstrate compliance with CFTC net capital requirements thus settling the matter between the parties. (CFTC v. One World Capital Group, LLC, et al., N.D. Ill., …
Created on:
… today issued an order simultaneously filing and settling charges against Ceres Global Ag Corp. , a company based in … mistaken,” said Director of Enforcement Ian McGinley. “The CFTC will act decisively to protect all its agricultural … the Division of Enforcement via a toll-free hotline 866-FON-CFTC (866-366-2382), file a tip or complaint online, or …
Created on:
… today issued an order simultaneously filing and settling charges against Falcon Labs, Ltd ., an entity organized … laws of the Seychelles, for failing to register with the CFTC as a futures commission merchant (FCM), as required. This marks the CFTC's first action against an unregistered FCM that …
Created on:
… September 20, 2010 CFTC Sanctions Former Metals Trader for Defrauding General … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Daniel J. Bealko, General Motors … CFTC Sanctions Former Metals Trader for Defrauding General …
Created on:
… of each of them, three of whom provided support to the CFTC jointly. One of the whistleblowers received a higher … a high degree of support to Enforcement staff,” said CFTC Acting Director of Enforcement Vincent McGonagle. … and assistance that helped support several of the charges against the defendants.” “We truly appreciate the …
Created on:
… July 12, 2019 CFTC Issues Order Finding that Korea Exchange, Inc. Made a False and Misleading Certification to the CFTC Washington, DC – The Commodity Futures Trading … issued an Order today filing and simultaneously settling charges against Korea Exchange, Inc. (KRX) of Busan, South …
Created on:
… Statement of CFTC Director of Enforcement James McDonald January 29, 2018 Today, the CFTC announces the filing of eight actions that go to the … of Texas, and District of Connecticut. These cases involve charges against three individuals who allegedly engaged in …
Created on:
… FOIA CFTC FOIA Reference Guide General Information Major … Information The US Commodity Futures Trading Commission (CFTC or Commission) was created by Congress in 1974 as an … of Requesters 1. Commercial Use Requester. The Commission charges fees for search time, review time, and duplication …
Created on: