Displaying results 131 - 140 of 2823
CFTC Charges Philadelphia-area Resident with Operating $50 Million Ponzi Scheme
… Release: 5594-09 For Release: January 8, 2009 CFTC Charges Philadelphia-area Resident with Operating $50 … Confesses to Fraud Scheme and Failing to Register with the CFTC Washington, DC – The U.S. Commodity Futures Trading … CFTC Charges Philadelphia-area Resident with Operating $50 …
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CFTC Charges Commodity Trading Advisor, Commodity Pool Operator and Its Owner with Fraudulently Allocating Trades
… person, of Sunny Isles Beach, Florida. The complaint charges SAM and Kambolin with unfairly allocating trades … participants and managed account customers and violating CFTC regulations governing the allocation of trades. SAM and … total trading profits for their proprietary accounts.  The CFTC seeks monetary penalties, disgorgement, restitution, …
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CFTC Charges Former Deutsche Bank Trader with Fraudulently Mismarking Swaps
… November 8, 2018 CFTC Charges Former Deutsche Bank Trader with Fraudulently … Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that it filed and settled charges … CFTC Charges Former Deutsche Bank Trader with Fraudulently …
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CFTC Charges Oregon Resident and His Corporation with Fraud Related to Leveraged Foreign Currency and Metals, and Failing to Register
… associated person of an introducing broker. The CFTC seeks disgorgement of ill-gotten gains, civil monetary … further violations of the Commodity Exchange Act and CFTC regulations. Case Background As alleged in the … of an introducing broker but failed to register with the CFTC as required. The CFTC thanks and acknowledges the …
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CFTC Charges Texas Resident Christopher B. Cornett in Foreign Currency Fraud Action
… February 8, 2012 CFTC Charges Texas Resident Christopher B. Cornett in Foreign … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of an enforcement action … CFTC Charges Texas Resident Christopher B. Cornett in Foreign …
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CFTC Charges Two Commodity Traders with Attempted Manipulation of Agricultural Markets
… September 26, 2018 CFTC Charges Two Commodity Traders with Attempted Manipulation of … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order against Adam Flavin (Flavin) and … CFTC Charges Two Commodity Traders with Attempted Manipulation of …
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CFTC Charges Forex Trading Firms and Principals in $75 Million Fraud
… April 22, 2019 CFTC Charges Forex Trading Firms and Principals in $75 Million … Washington, DC  — The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in federal court in … CFTC Charges Forex Trading Firms and Principals in $75 Million …
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CFTC Charges Slovakian Men and Their Company with Spoofing in Crude Oil Futures Markets
… deceptive scheme in the crude oil futures markets.  “These charges demonstrate once again that the CFTC continues to vigorously prosecute to the fullest extent … James McDonald. In its continuing civil litigation, the CFTC seeks, among other relief, civil monetary penalties, …
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CFTC Charges Nebraska Commodity Pool Operator and its Owner with Fraud and Regulatory Violations
… would be invested in the commodity pool. In litigation, the CFTC seeks restitution, disgorgement, civil monetary … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. Case Background The complaint … than 80 percent of the pool’s assets.   The complaint also charges Centurion and Svejda for multiple regulatory …
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CFTC Charges Wisconsin Firm and its Manager with Registration, Disclosure, and Recordkeeping Violations
… Timothy A. Sack of Oshkosh, Wisconsin. The complaint charges Southwest Services with failing to register with the CFTC as a retail foreign exchange dealer (RFED), failing to … also charges Sack with failing to register with the CFTC as an associated person of a RFED. In addition, the …
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