Displaying results 1181 - 1190 of 2823
CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges
… February 8, 2013 CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Gelber Group, LLC (Gelber) of Chicago, Ill., … CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses …
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CFTC Orders Nebraska Company to Pay $400,000 for Position Limits Violations
… today issued an order filing and simultaneously settling charges against an Omaha, Nebraska-based company that refers … as AG Processing Inc a cooperative (AGP) for exceeding the CFTC’s all-months speculative position limits for soybean … of Section 4a(b)(2) of the Commodity Exchange Act and CFTC Regulation 150.2, as charged. According to the order, …
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CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator Requirements
… February 9, 2017 CFTC Orders John B. Oden and His Company, Oden Capital … to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator … (CFTC) today entered an Order filing and settling charges against Dallas, Texas-based Commodity Pool Operators …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Settlement with First State Depository Company, LLC and Argent Asset Group LLC for Precious Metals Fraud
… Today, the Commodity Futures Trading Commission (CFTC or Commission) filed a Consent Order for Permanent … with the purchase and sale of precious metals. [1]   The CFTC’s complaint alleged that the Defendants operated … Michael Solinsky. [1] CFTC Release No. 8606-22, CFTC Charges Delaware Precious Metals Dealer, Depository, and …
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CFTC Orders a Colorado Commodity Pool Operator and Its Owner to Pay More Than $475,000 for Fraud Violations
… today issued an order simultaneously filing and settling charges against Colorado-based Highland Quantitative Driven … in restitution and a $300,000 civil monetary penalty. The CFTC also orders them to cease and desist from further … the amounts authorized by the pool operating documents. The CFTC cautions that orders requiring repayment of funds to …
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CFTC Announces Participation in Providing Expanded Content on MyMoney.gov
… Release: 5155-06 For Release: January 31, 2006 CFTC Announces Participation in Providing Expanded Content … Brown-Hruska of the Commodity Futures Trading Commission (CFTC) and chairman of the Financial Literacy and Education … language versions of the Mymoney.gov website. Through CFTC’s participation and partnership with nineteen other …
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CFTC Orders Cargill to Pay $750,000 for Swap Reporting Failures and Failure to Supervise
… today issued an order simultaneously filing and settling charges against Cargill Inc. , a provisionally registered … any further violations of the Commodity Exchange Act or CFTC regulations, as charged. Case Background The order … daily large trader reports (LTRs) and its submissions on CFTC Form 102S . In addition, from approximately July 2019 …
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CFTC Orders New Jersey Firm to Pay $300,000 for Supervision Violations
… Commission today issued an order filing and settling charges against registered futures commission merchant Gain … independent introducing broker that was subject to a prior CFTC enforcement action for fraud and other violations. The … penalty of $300,000 and cease and desist from violating CFTC Regulation 166.3. According to the order, from at least …
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New Jersey Federal Court Freezes Assets of Hedge Fund in Fraud Action Brought by the CFTC
… DC − The U.S. Commodity Futures Trading Commission (CFTC) announced today that on April 22, 2008, a federal … order arises from a complaint filed under seal by the CFTC on the same day in the United States District Court for … including commodity futures and options. The complaint also charges Sucarato with failing to register as a commodity …
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Customer Advisory: Eight Things You Should Know Before Trading Forex
… that the dealer and its employees are registered with the CFTC and checking the dealer’s disciplinary history with the … (NFA). Why Registration Matters   Registration with the CFTC and NFA indicates: Principals and associated persons … OTC forex customers lose money when all credits, financing charges, fees, and other expenses are factored in. Over the …
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