Displaying results 1171 - 1180 of 2823
CFTC Orders Puerto Rico Commodity Pool Operator to Pay $150,000 for Supervision and Reporting Violations
… 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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CFTC Orders Two Florida Men to Pay $280,000 for Registration and Reporting Violations
… today issued an order filing and simultaneously settling charges against Dennis K. Thomas and John J. Bartoletta , … violations under the Commodity Exchange Act (CEA) and CFTC regulations. Specifically, the order finds that Thomas … to cease and desist from further violations of the CEA and CFTC regulations, as charged. Case Background The order …
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Case Status Report: Phillip Milton and William and Gregory Center
… Miami, FL 33131 305.403.8788 (main) 305.403.8789 (fax) The CFTC has signed consent orders in which Milton and William … LLC and Gregory Center is ongoing. On June 22, 2010 , the CFTC filed a complaint against defendants Philip Milton, … v. Trade LLC, et al. Order: CFTC v. Trade LLC, et al. CFTC Charges Florida Resident Phillip Milton and Virginia …
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CFTC Orders Payment of Penalties Totaling $665,000 by Credit Suisse International for Violating the Speculative Position Limit for Wheat Futures and by Credit Suisse Securities (USA) LLC for Submitting False or Misleading Information to the CFTC
… March 22, 2016 CFTC Orders Payment of Penalties Totaling $665,000 by Credit … LLC for Submitting False or Misleading Information to the CFTC Washington, DC -  The U.S. Commodity Futures Trading … Commission (CFTC) today issued an Order filing and settling charges that Credit Suisse International (CSI) of London, …
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CFTC Announces Vincent A. McGonagle as Director of the Division of Market Oversight
… September 16, 2013 CFTC Announces Vincent A. McGonagle as Director of the … Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler today announced that Vincent A. … market integrity in the futures and swaps markets,” said CFTC Chairman Gary Gensler. “He has a wealth of experience …
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CFTC Obtains $7.6 Million Asset Freeze in New York Fraud Matter
… Release: 5691-09 For Release: August 10, 2009 CFTC Obtains $7.6 Million Asset Freeze in New York Fraud … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained an order freezing … District of New York on August 4, 2009, stems from CFTC charges filed on February 25, 2009, against Walsh and Paul …
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CFTC Orders Nevada Resident Luis Salazar-Correa and His Company, Prosperity Team, LLC, to Pay More than $2.6 Million to Settle CFTC Anti-fraud Forex Action
… June 6, 2012 CFTC Orders Nevada Resident Luis Salazar-Correa and His … Team, LLC, to Pay More than $2.6 Million to Settle CFTC Anti-fraud Forex Action Washington, DC – The U.S. … Commission (CFTC) today filed and simultaneously settled charges against Luis Salazar-Correa of Las Vegas, Nev., and …
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Chairman Gary Gensler’s Opening Remarks at CFTC Roundtable
… Chairman Gary Gensler’s Opening Remarks at CFTC Roundtable January 31, 2013 Welcome to the Commodity Futures Trading Commission (CFTC). Thank you, Rick, and thanks to the team for putting together this roundtable. This is the CFTC’s 21 st public roundtable since the passage of the …
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CFTC Enforcement Program Filings Increase 14 Percent in Fiscal Year 2010
… October 5, 2010 CFTC Enforcement Program Filings Increase 14 Percent in … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that its enforcement program filed 57 … and disgorgement from respondents and defendants in CFTC enforcement actions. Additionally, the Division of …
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CFTC Sanctions J.P. Morgan Futures, Inc. $300,000 for Failing to Properly Segregate Customer Funds and Failing to Timely Report the Under-segregation to the CFTC
… Release: 5713-09 For Release: September 9, 2009 CFTC Sanctions J.P. Morgan Futures, Inc. $300,000 for … and Failing to Timely Report the Under-segregation to the CFTC J.P. Morgan Futures, Inc., a registered futures … today announced the filing and simultaneous settlement of charges against J.P. Morgan Futures, Inc. (JPMF), a …
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