Displaying results 1161 - 1170 of 2823
… today issued an order simultaneously filing and settling charges against North Carolina swap dealer Truist Bank . The … preserve, or produce records required to be kept under CFTC recordkeeping requirements. Truist also failed to … diligently supervise matters related to its business as a CFTC swap dealer. Truist admits the facts detailed in the …
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… Release: 5561-08 For Release: October 1, 2008 CFTC to Co-Chair International Task Force on Commodities … Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced that CFTC will serve as co-chair of an international task force … CFTC to Co-Chair International Task Force on Commodities …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has entered in to separate … Georgia, and Michael Whalen of Houston, Texas, settling charges that defendants falsely reported and attempted to … the National Futures Association. The orders arise from a CFTC lawsuit filed on February 1, 2005, charging that …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a Notice of Intent to … the Southern District of Florida on December 5, 2005 (see CFTC Press Release 5200-06, July 19, 2006). The court’s … options on commodity futures contracts, as charged by the CFTC in its complaint filed in September 2004 in CFTC v. …
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… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on February 22, 2013 the … to the retail public. The Court’s Order stems from the CFTC’s December 5, 2012 Complaint charging the Defendants … RELATED NEWS RELEASES • Press Release : CFTC Charges Hunter Wise Commodities, Lloyds Commodities, C.D. …
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… Commission today issued an order filing and settling charges against Cunningham Commodities, LLC , a registered … any further violations of the Commodity Exchange Act or CFTC regulations, as charged. The order also finds that … obligations imposed against the GIB in any related CFTC enforcement proceeding regarding the GIB’s conduct …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that the United States District Court … The order stems from an ex parte complaint filed by the CFTC on June 7, 2004, charging Axess with violating the … its regulatory status to prospective customers (see CFTC News Release 4938-04 , June 14, 2004). The consent …
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… today issued an order filing and simultaneously settling charges against Peter L. Bryant of Texas and his company, … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. In addition, the order imposes … base, past performance, as well as the applicability of the CFTC’s registration requirements to their business. For …
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… Deutsche Bank AG (Deutsche Bank) resolved federal court charges stemming from alleged violations of various swap … and other regulatory violations. In the second matter, the CFTC issued an administrative order against Deutsche Bank … District of New York entered a consent order settling the CFTC’s case against Deutsche Bank for numerous swap data …
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… today issued an order simultaneously filing and settling charges against DARMA, LLC , a registered commodity pool … trading advisor located in Puerto Rico, for violating CFTC regulations for supervision and reporting. … National Futures Association (NFA) in a timely manner. The CFTC order requires DARMA to pay a $150,000 civil monetary …
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