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… metals. This Customer Advisory— the fourth issued by the CFTC in response to the COVID-19 (coronavirus) pandemic— was … Customer Education and Outreach (OCEO). Specifically, the CFTC has observed a growing trend of precious metals … these leveraged transactions include high interest charges and a form of speculation that could cause customers …
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… October 1, 2019 CFTC Orders Trader to Pay $160,000 for Making … that it issued an order filing and simultaneously settling charges against Aron Seidenfeld , a New York-based futures … serve as a clear message to market participants that the CFTC will not tolerate conduct that inhibits the ability of …
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… today issued an order filing and simultaneously settling charges against Powerline Petroleum, LLC (Powerline), its … that our statutes and regulations require,” said CFTC Acting Director of Enforcement Gretchen Lowe. “Further, … hedging strategies, but failed to register as such. The CFTC’s investigation was conducted in conjunction with a …
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… today issued an order filing and simultaneously settling charges against Goldline, Inc . (Goldline) and A-Mark … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. Case Background The order … Erica Bodin, James Holl III, and Rick Glaser. ***** CFTC’s Precious Metals Customer Fraud Advisory The CFTC has …
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… Today, the Commodity Futures Trading Commission (CFTC or Commission) filed a complaint in the U.S. District … in mark-ups on approximately $61.8 million in sales. The CFTC has brought many actions against fraudsters seeking to … Defendants. [2] See, e.g. , CFTC Release No. 8694-23, CFTC Charges Precious Metals Dealers and Their Owner in …
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… September 18, 2013 CFTC Orders FXDirectDealer, LLC to Pay $2.74 Million for … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges that, from at least December 10, 2009, until June … CFTC Orders FXDirectDealer, LLC to Pay $2.74 Million for …
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… today issued an order simultaneously filing and settling charges against Prime Agricultural Investors, Inc. (Prime), … for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to improper allocation of customer … Henderson, constituted failure to supervise in violation of CFTC regulations. In accepting the Offer of Settlement from …
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… FUTURES AND DERIVATIVES 2007: RECENT CFTC PROJECTS AND THE YEAR AHEAD Address by Chairman Reuben … again this year to share some thoughts on the work of the CFTC – both the projects that have kept us busy during the … and Mike Dunn, who is keeping the fires burning at the CFTC back in Washington. There is no doubt that my job at …
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CFTC Orders UK Trader to Pay $150,000 and Imposes a One-Year Trading Ban for Spoofing in WTI Futures
… today issued an order simultaneously filing and settling charges against UK-based trader Adam Cobb-Webb for engaging … one-year ban from trading on or subject to the rules of any CFTC-designated exchange and all other CFTC-registered entities and in all commodity interests. …
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… bringing an enforcement action against commodity broker and CFTC-registered FCM CHS Hedging, Inc. (CHS) for failing to … did not exist (a.k.a. “ghost cattle”). [2] 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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