Displaying results 1271 - 1280 of 2823
CFTC Sanctions Former NYMEX Clerk Brian Keane $90,000 for Fraudulent Trade Practice Scheme
… Release: 5564-08 For Release: October 6, 2008 CFTC Sanctions Former NYMEX Clerk Brian Keane $90,000 for … DC − The U.S. Commodity Futures Trading Commission (CFTC) today filed and settled charges against former New York Mercantile Exchange (NYMEX) … CFTC Sanctions Former NYMEX Clerk Brian Keane $90,000 for …
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CFTC Orders Two Chinese Companies to Pay $720,000 for Wash Trading, Position Limit Violations, and Reporting Failures
… today issued an order simultaneously filing and settling charges against Beijing-based COFCO Corp . and Chinatex … desist from violating the Commodity Exchange Act (CEA) and CFTC regulations, as charged.  Case Background The order … of a hedge exemption, and failure to supervise.   The CFTC appreciates the assistance of ICE Futures U.S. The …
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CFTC Files Enforcement Action against Two Indian Citizens for Allegedly Engaging in an Illegal Trading Scheme
… January 12, 2012 CFTC Files Enforcement Action against Two Indian Citizens … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil complaint … Meera Singhal , who resides in India. The CFTC complaint charges the defendants with engaging in transactions in …
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Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty
… For Release: October 21, 2009 Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty CFTC previously found that DiPlacido manipulated settlement … (ALJ’s) liability determinations on four manipulation charges and sustained the ALJ’s other liability findings. …
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CFTC Sues 11 Foreign Currency Firms in Second Nationwide Sweep Against Unregistered Firms
… September 8, 2011 CFTC Sues 11 Foreign Currency Firms in Second Nationwide … Firms Cases bring to 25 the number of firms sued by the CFTC for failing to register under the 2008 Farm Bill, the … 2011, 11 of the14 defendants have either settled the charges or defaulted, and the charges against the remaining …
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CFTC Issues Consumer Advisory Alerting Public to Possible Precious Metals Fraud
… January 31, 2012 CFTC Issues Consumer Advisory Alerting Public to Possible … DC - The U.S. Commodity Futures Trading Commission (CFTC) issued a Consumer Advisory warning the public to … tactics to induce customers to invest. According to the CFTC’s Advisory, precious metals companies, often calling …
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CFTC Orders Six Financial Institutions to Pay Total of More Than $6 Million for Reporting Failures
… October 1, 2019 CFTC Orders Six Financial Institutions to Pay Total of More Than $6 Million for Reporting Failures Agency Charges First Ever Violation of Swap-Dealer Risk Management … to effective fulfillment of the regulatory functions of the CFTC, including meaningful surveillance and enforcement …
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CFTC Seeks Public Comment on Request by Chicago Board of Trade to Amend its Wheat Futures Contract
… Release: 5541-08 For Release: September 9, 2008 CFTC Seeks Public Comment on Request by Chicago Board of … Washington, DC – The Commodity Futures Trading Commission (CFTC) is requesting public comment on proposed amendments … 2008. Comments may be submitted electronically to secretary@cftc.gov. All comments will be posted on the CFTC’s website. …
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CFTC Orders Swap Dealer to Pay $6 Million for Swap Reporting and Daily Mark Disclosure Violations
… today issued an order filing and simultaneously settling charges against BNP Paribas (BNPP), a global financial … from violating the applicable provisions of the CEA and CFTC regulations, and comply with certain conditions and … regarding the swap dealer’s compliance with the CEA and CFTC regulations. Case Background According to the order, …
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CFTC Sues Futures Commission Merchant Forex Liquidity LLC Alleging Undercapitalization in Excess of $11.6 Million
… Release: 5426-07 For Release: December 19, 2007 CFTC Sues Futures Commission Merchant Forex Liquidity LLC … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that on December 13, 2007, it sued … required books and records. On December 14, 2007, the CFTC won an asset freeze and other emergency relief that …
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