Displaying results 1141 - 1150 of 2823
CFTC Suspends the Registration of Criminally Indicted Chicago Floor Broker David G. Sklena
… Release: 5732-09 For Release: October 8, 2009 CFTC Suspends the Registration of Criminally Indicted … Washington, DC – The Commodity Futures Trading Commission (CFTC) suspended the registration of David G. Sklena of … Press Release 5690-09). According to the ALJ’s order, the charges in the indictment, if proven, would reflect on the …
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CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures
… August 26, 2014 CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for … Supervisory Failures over Fee Processing Led to Client Overcharges at Times Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously …
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Dissenting Statement of Commissioner Caroline D. Pham on SEC-CFTC Joint Final Rule on Form PF
… with the U.S. Securities and Exchange Commission (SEC) (SEC-CFTC Joint Final Rule on Form PF or Joint Final Rule) … that supports American businesses and jobs. [1]   The SEC-CFTC Joint Final Rule on Form PF charges ahead on the wrong path with no consideration for …
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CFTC Obtains Preliminary Injunctions Against Nevada Corporation and Two Individuals
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on November 3, 2006, the … in any commodity futures or options trading, stem from a CFTC complaint filed on September 28, 2006. The complaint … things, commodity futures contracts. Specifically, the CFTC complaint alleges that defendants solicited prospective …
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CFTC and State Regulators Enter Consent Order with California Precious Metals Dealer in $68 Million Fraud Targeting the Elderly
… future violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged; future violations of state … as charged; and from trading or registering with the CFTC and the states in this action. The order further … monetary penalty to be determined at a later date. The CFTC and NASAA thank and acknowledge the assistance of the …
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CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures
… January 11, 2017 CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for … Exchange and Clearing Fee Processing Led to Customer Overcharges at Times Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges …
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CFTC Orders Goldman Sachs to Pay $1 Million for Recordkeeping Violations 
… November 26, 2019 CFTC Orders Goldman Sachs to Pay $1 Million for … today issued an order filing and simultaneously settling charges against Goldman Sachs & Co. LLC for failing to make and keep certain audio recordings as required under CFTC regulations for swap dealers.  The order requires …
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PLI White Collar Crime 2023 Keynote Speech of Enforcement Director Ian McGinley: “Enforcement by Enforcement: The CFTC’s Actions in the Derivatives Markets for Digital Assets”
… the views of the Commodity Futures Trading Commission (CFTC), its Commissioners, or CFTC staff. I’ve now been the CFTC’s Director of Enforcement … For example, in 2021, the CFTC entered an order settling charges with Polymarket, which had been offering … Director Ian McGinley: “Enforcement by Enforcement: The CFTC’s Actions in the Derivatives Markets for Digital Assets” …
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CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602
… August 19, 2015 CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a … for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 Washington, DC – The U.S. Commodity … Commission (CFTC) today filed and simultaneously settled charges against INTL FCStone Markets, LLC (FCStone), a …
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CFTC Orders Dubai Traders and Their Firms to Pay $100,000 for Wash Sales
… today issued an order filing and simultaneously settling charges against Dubai residents Kunal Bansal and Vinit … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. Case Background According to … wash trades consisting of 189 gold futures contracts. The CFTC’s investigation was conducted in conjunction with a …
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