Displaying results 1221 - 1230 of 2823
… Futures Trading Commission today filed and settled charges against Tyson Foods, Inc ., for exceeding the CFTC’s position limits for soybean meal futures contracts … and desist from violating the Commodity Exchange Act and CFTC regulations as charged. Case Background The order finds …
Created on:
… action (Wells process), ensuring that notice of potential charges and relevant facts supporting the allegations are provided. “As I have said before, the CFTC has nearly boundless discretion to investigate and … That is why, for over 3 years, I have called for the CFTC to uphold the highest standards of integrity, diligence …
Created on:
… today issued an order filing and simultaneously settling charges against Symphony Communication Services, LLC for … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. Case Background The order … the Division of Enforcement via a toll-free hotline 866-FON-CFTC (866-366-2382), file a tip or complaint online , or …
Created on:
… today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC (Goldman) for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that Goldman failed to disclose dozens of …
Created on:
… Trading Commission today issued orders filing and settling charges against three registered introducing brokers (IB)— … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. The orders recognize each IB’s … of derivatives market intermediaries is a key aspect of the CFTC’s mission, making necessary the reporting of guaranteed …
Created on:
… announced the successful conclusion of the receivership in CFTC v. Walsh, et al., a $1.3 billion Ponzi scheme case the CFTC filed in 2009. [See CFTC Press Release No. 5621-09 ]. On September 19, the U.S. … Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over …
Created on:
… Trading Commission today issued orders filing and settling charges against Marex North America LLC , a registered … any further violations of the Commodity Exchange Act and CFTC regulations, as charged. “The Division of Enforcement … CFTC Fines New York and UK-Based Firms for Net Capital …
Created on:
… today issued an order simultaneously filing and settling charges against UBS AG, a provisionally registered swap … retain certain audio recordings for the time required under CFTC regulations. The order finds that as a result of … day, including voice recording files that were required by CFTC regulations to be retained for one year. The order …
Created on:
… July 31, 2018 CFTC Sues Forex Dealer for Registration and Disclosure … Washington, DC – The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District … Specifically, the CFTC’s Complaint, filed on July 27, 2018, charges that JAFX has been the counterparty to leveraged, …
Created on:
… Release: 5534-08 For Release: August 26, 2008 CFTC Sanctions Former NYMEX Employee for Disclosing … Washington, DC — The Commodity Futures Trading Commission (CFTC) today settled charges against Alvin Perez, a former New York Mercantile … CFTC Sanctions Former NYMEX Employee for Disclosing …
Created on: