Displaying results 1201 - 1210 of 2823
… April 25, 2013 New CFTC Anti-Fraud Resources Released for Financial Capability … dreams. The U.S. Commodity Futures Trading Commission (CFTC) is part of the effort to fight fraud, having filed a … fiscal year 2012. To also help combat financial fraud, the CFTC’s Office of Consumer Outreach is making available new …
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… Release: 5776-10 For Release: January 28, 2010 The CFTC Sanctions Two Canadian Firms $500,000 for Entering into … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Pinemore, L.P. (Pinemore) and Birchmore, …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has accepted an offer of … fraud in violation of the Commodity Exchange Act and CFTC regulations (see CFTC Press Release 5158-06, February 10, 2006). The consent … CFTC Revokes the Registration of Chase Commodities …
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… April 2, 2013 CFTC Revokes Registrations of Gordon A. Driver and Axcess … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the revocation of the registrations of … Management, LLC (Axcess). Axcess was registered with the CFTC as a Commodity Pool Operator, and Driver was registered …
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… Remarks of Director of Enforcement James McDonald During CFTC-DOJ Press Conference Call This morning, the CFTC announced the filing of manipulation and spoofing charges against three individuals who served as executives … Remarks of Director of Enforcement James McDonald During CFTC-DOJ Press Conference Call …
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… today issued two orders simultaneously filing and settling charges against Randy Chen (Chen), a California resident, … six months from trading on or subject to the rules of any CFTC-designated exchange and all other CFTC-registered entities and in all commodity interests; and …
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… Release: 5549-08 For Release: September 18, 2008 CFTC Files Action to Revoke the Registration of Portland, Oregon, Hedge Fund Beacon Rock Capital, LLC CFTC Action is Result of the Fund’s Criminal Conviction for … trading of mutual funds. According to the criminal charges, through this scheme, Beacon Rock allegedly made in …
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… Commission today issued an order filing and settling charges against Nasdaq Futures, Inc. , formerly a designated … not fully disclose this incentive program’s details to the CFTC or the public consistent with the requirements of the … Futures, Inc. made false and misleading statements to the CFTC regarding the incentive program. The order requires …
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… September 30, 2010 CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures CFTC finds that Alaron failed to supervise diligently its … today announced the filing and simultaneous settlement of charges against Alaron Trading Corporation (Alaron), a …
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… August 31, 2017 CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Ikon Global Markets, Inc. (Ikon) for failing … CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for …
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