Displaying results 1251 - 1260 of 2823
… issued an order today simultaneously filing and settling charges against Eric Schwartz of Chicago, Illinois, for … suspension from trading on or subject to the rules of any CFTC-designated exchange and all other CFTC-registered entities and in all commodity interests. …
Created on:
… December 22, 2014 CFTC’s Global Markets Advisory Subcommittee on Foreign … DC — The U.S. Commodity Futures Trading Commission’s (CFTC) Subcommittee on Foreign Exchange Markets (FEM) … and instructive to the GMAC members, Commissioners and CFTC staff.” The FEM subcommittee was established in October …
Created on:
… Federal Plaza, Central Islip, NY 11722. January 27, 2009: CFTC Charges Nicholas Cosmo and Agape Companies with Defrauding … Scheme The U.S. Commodity Futures Trading Commission (CFTC) today filed a federal law suit against Nicholas Cosmo … Federal Plaza, Central Islip, NY 11722. January 27, 2009: CFTC Charges Nicholas Cosmo and Agape Companies with …
Created on:
… it has issued an order simultaneously filing and settling charges against registered futures commission merchant (FCM) … to ensure customers are protected from fraud, and the CFTC will not hesitate to take action and require … required records promptly or in the form requested by CFTC staff. The Division of Enforcement staff responsible …
Created on:
… today entered an order filing and simultaneously settling charges against Delaware-registered Blockratize, Inc. d/b/a … comply with the Commodity Exchange Act (CEA) and applicable CFTC regulations, and cease and desist from violating the CEA and CFTC regulations, as charged. “All derivatives markets must …
Created on:
… from further violations of the Commodity Exchange Act and CFTC regulations, as charged, and to pay a civil monetary … two days of the transactions, it took 30 or 45 days. The CFTC strongly urges the public to verify a company’s registration with the CFTC before committing funds. If unregistered, a customer …
Created on:
… May 25, 2011 CFTC Sanctions Cadent Financial Services LLC $125,000 for … DC ― The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Cadent Financial Services LLC (Cadent), a … CFTC Sanctions Cadent Financial Services LLC $125,000 for …
Created on:
… Statement of Concurrence by CFTC Commissioner Rostin Behnam Amendments to Registration … of CPOs and CTAs were not adopted as Part 4 until 1979, CFTC staff began granting exemptive relief and issuing … means, we can harmonize the regulatory treatment of dually CFTC-SEC regulated entities and individuals such as in the …
Created on:
… December 7, 2012 CFTC Orders Goldman, Sachs & Co., a Commission Registrant, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Goldman, Sachs & Co. (Goldman), a … to pay a $1.5 million civil monetary penalty to settle CFTC charges that it failed to diligently supervise its employees …
Created on:
… August 26, 2013 CFTC Permanently Bars Accountant, Jeannie Veraja-Snelling, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed and settled charges against Jeannie Veraja-Snelling , d/b/a … CFTC Permanently Bars Accountant, Jeannie Veraja-Snelling, …
Created on: