Displaying results 1241 - 1250 of 2823
"CFTC’s 'American Idols': Reality Regulation", Speech Before the Commodity Markets Council
… CFTC’s “American Idols”: Reality Regulation Speech of Bart … the exciting, hands-on, real-time efforts going on at the CFTC as the oversight regulator of your dynamic industry.  … promises of high returns, didn’t disclose hidden commission charges, and actually made up false account statements.  …
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CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing 
… October 1, 2019   CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 … Spoofing Task Force. “As these cases demonstrate, the CFTC is committed to preserving the integrity of our … September 30, 2019 issued an order filing and settling charges against Morgan Stanley Capital Group Inc. for …
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CFTC Sanctions New York Resident James M. Peister and His Company, Northstar International Group, Inc., More than $11 Million to Settle CFTC Anti-Fraud Action
… February 3, 2011 CFTC Sanctions New York Resident James M. Peister and His … International Group, Inc., More than $11 Million to Settle CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity … Commission (CFTC) today filed and simultaneously settled charges that James M. Peister and his company, Northstar …
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CFTC Orders Florida Resident Barbara Cohen and Her Company, Pure Reason, LLC, to Pay a $140,000 Penalty for Cohen’s False Statements to the CFTC and for Not Disclosing that Profitable Trading Results Were Based on Hypothetical Trading
… September 29, 2015 CFTC Orders Florida Resident Barbara Cohen and Her Company, … Pay a $140,000 Penalty for Cohen’s False Statements to the CFTC and for Not Disclosing that Profitable Trading Results … Commission (CFTC) today issued an Order filing and settling charges that Barbara Cohen of Tarpon Springs, Florida, made …
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CFTC Announces Formation of Retail Foreign Currency Fraud Enforcement Task Force
… Release: 5530-08 For Release: August 11, 2008 CFTC Announces Formation of Retail Foreign Currency Fraud … Washington, DC — The Commodity Futures Trading Commission (CFTC) has formed a special task force charged with … and Energy Act of 2008” that clarified and strengthened the CFTC’s jurisdiction over this market. The task force will …
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CFTC Orders New York-Based Commodity Pool Operator and Commodity Trading Advisor to Pay $400,000 Penalty for Supervision Failures
… today issued an order simultaneously filing and settling charges against BBL Commodities LP (BBL), a New York-based CFTC-registered commodity trading advisor (CTA) and … or for deterring its employees from such conduct. The CFTC order requires BBL to pay a $400,000 civil monetary …
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CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million for Failure to Disclose Conflicts of Interest
… December 18, 2015 CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against JPMorgan Chase Bank, N.A. (JPMCB). The Order … CFTC Orders JPMorgan Chase Bank, N.A. to Pay $100 Million …
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Statement of Commissioner Goldsmith Romero on the Importance of Protecting Commodity Markets Against Excessive Speculation in the Ghost Cattle Fraud Case CFTC v. Cody Easterday
… the pandemic. [2]   In addition to the criminal case, the CFTC brought a civil case. In 2021, the CFTC charged Easterday and Easterday Ranches, Inc. for … United States Department of Justice . [2] See Id. [3] CFTC Charges Washington State Rancher and Feedyard with $233 …
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CFTC Issues Proposed Rules for Derivatives Clearing Organizations to Align with International Standards
… August 13, 2013 CFTC Issues Proposed Rules for Derivatives Clearing … Washington, DC — The Commodity Futures Trading Commission (CFTC) proposed rules to establish additional standards for … advantages afforded to QCCPs (namely, lower capital charges for banks clearing through a QCCP), the proposed …
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CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting Violations
… October 1, 2019 CFTC Orders CHS, Inc. to Pay $500,000 Penalty for Reporting … today that an order filing and simultaneously settling charges against CHS, Inc . a cooperative corporation … in Minnesota, for failing to submit accurate monthly CFTC Form 204 Reports regarding the composition of CHS’s …
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