Displaying results 1211 - 1220 of 2823
CFTC Orders Ikon Global Markets, Inc. to Pay $200,000 for Recordkeeping Violations
… 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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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions
… March 16, 2016 CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Equinox Fund Management, LLC (Equinox). The … CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 …
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Statement of Commissioner Christy Goldsmith Romero: The CFTC’s Sacrosanct Responsibility to Safeguard Customer Funds to Protect Customers and Avoid Systemic Risk
… The CFTC has a sacrosanct responsibility to safeguard customer … public and customer confidence in our markets is one of the CFTC’s most important regulatory responsibilities. There is … also may benefit customers in the form of lower commission charges of direct interest payments on funds on deposit with …
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CFTC Files Two Enforcement Actions Addressing Attempted Manipulation, Unauthorized Trading, and Fraud
… September 26, 2018 CFTC Files Two Enforcement Actions Addressing Attempted … Washington, DC — The Commodity Futures Trading Commission (CFTC) issued two Orders today filing and simultaneously settling charges against various respondents for violations of the … CFTC Files Two Enforcement Actions Addressing Attempted …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Orders for $700 Million Penalty Against Bank-Affiliated Entities for Offline Communications
… Today, the Commodity Futures Trading Commission (CFTC or Commission) issued a series of orders settling charges against swap dealers and affiliated futures … maintain, preserve, and produce records in compliance with CFTC recordkeeping requirements and for failing to …
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Forex Frauds
… at all. If you still want to trade forex, then trade with a CFTC-registered dealer. There are six, listed here … Do verify that dealer firms are registered with the CFTC and National Futures Association, see the list above.  … Four Things That Can Help Reduce Your Risk of Forex Fraud CFTC/NASAA Investor Alert: Foreign Exchange Currency Fraud …
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CFTC Orders Trader and His Firm to Pay $150,000 for Wash Sales
… May 7, 2020 CFTC Orders Trader and His Firm to Pay $150,000 for Wash … Commission today issued an order filing and settling charges against respondents Mehran Khorrami, from New York, … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. The CFTC’s investigation was …
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CFTC Orders Four Financial Institutions to Pay Total of $260 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
… today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant … or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. The settling registrants admit the facts …
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Statement of Commissioner Kristin N. Johnson Regarding the CFTC’s Reaching Over $1 Billion in Civil Monetary Penalties Against Bank-Affiliated Entities for Employees’ Offline Communications
… Today, the Commodity Futures Trading Commission (CFTC or Commission) issued a series of orders settling charges against swap dealers and their affiliated futures … merchants [1] (Bank-Affiliated Entities).  According to the CFTC’s investigation, employees at the Bank-Affiliated …
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CFTC Sanctions Alaron Trading Corporation for Failing to Supervise Diligently Employees
… Release: 5488-08 For Release: April 21, 2008 CFTC Sanctions Alaron Trading Corporation for Failing to … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and simultaneously settling charges against Alaron Trading Corporation (Alaron), of …
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