Displaying results 1231 - 1240 of 2823
Opening Remarks of Commissioner Kristin Johnson for the CFTC and OMWI Roundtable on Digital Assets and Financial Inclusion
… legislation and regulation at a roundtable at the CFTC, organized by Commissioner Johnson’s Office, the Office of the Chairman, CFTC OMWI, and the inaugural CFTC Chief Diversity Officer. … well. In furtherance of these efforts, the CFTC has filed charges against entities for violations including engaging …
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CFTC Sanctions Former NYMEX Employee for Disclosing Non-Public Information to NYMEX Floor Brokers
… 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 …
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CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations
… September 21, 2012 CFTC Orders Infinity Futures LLC, an Introducing Broker, to … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against Infinity Futures LLC (Infinity), a … CFTC Orders Infinity Futures LLC, an Introducing Broker, to …
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CFTC Orders Foremost Trading LLC, an Introducing Broker, to Pay $400,000 for Supervision Violations
… September 20, 2013 CFTC Orders Foremost Trading LLC, an Introducing Broker, to … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Foremost Trading LLC (Foremost), a … CFTC Orders Foremost Trading LLC, an Introducing Broker, to …
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CFTC Sanctions Four Commodity Pool Operators for Failing to File Timely Reports with the National Futures Association
… Release: 5596-09 For Release: January 9, 2009 CFTC Sanctions Four Commodity Pool Operators for Failing to … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it simultaneously filed and settled charges against four registered commodity pool operators …
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CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 for Supervision Violations
… October 22, 2012 CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges that Morgan Stanley Smith Barney LLC (Morgan … CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 …
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CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and Disgorgement for Aiding and Abetting Commodity Pool Fraud
… April 12, 2016 CFTC Permanently Bans Brian Hinman from Trading and Registering with the CFTC and Imposes over $141,000 in a Monetary Penalty and … Commission (CFTC) today filed and simultaneously settled charges against Brian Hinman for aiding and abetting Kevin …
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CFTC Revokes Registrations of Oregon Resident Joshua W. Wallace and His Company, System Capital, LLC
… February 20, 2014 CFTC Revokes Registrations of Oregon Resident Joshua W. … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the revocation of the registrations of … (System Capital). System Capital was registered with the CFTC as a Commodity Trading Advisor and Wallace was …
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CFTC Issues a Notice to Suspend or Modify the Registration of Indicted Floor Broker David G. Sklena of Skokie, Illinois
… Release: 5690-09 For Release: August 7, 2009 CFTC Issues a Notice to Suspend or Modify the Registration … Washington, DC - The Commodity Futures Trading Commission (CFTC) announced today that it filed an action to suspend or … of Illinois. According to the Notice, the indictment charges Sklena with eleven federal felonies, including …
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CFTC Wins Fraud Trial against Hunter Wise Related Precious Metals Firms and Their Owners
… May 22, 2014 CFTC Wins Fraud Trial against Hunter Wise Related Precious … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on May 16, 2014, a federal court … four Hunter Wise related companies and their owners on charges that they had fraudulently misrepresented the nature …
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