Displaying results 1301 - 1310 of 2823
… Commission today issued an order filing and settling charges against Gain Capital UK Limited (Gain UK) of London, … further violations of the Commodity Exchange Act (CEA) or CFTC regulations, as charged. The order finds that … without registering as an RFED as required by the CEA and CFTC regulations. Gain UK accepted customers who used U.S. …
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… LLC and Five Traders LLC on April 6. The orders resolve the CFTC’s May 17, 2022 lawsuit and find the defendants liable … pool participants’ funds. The orders also resolve CFTC charges that the defendants made false statements to … Fraud, Misappropriation, and Making False Statements to the CFTC …
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… Release: 5763-09 For Release: December 17, 2009 CFTC Sanctions MF Global Inc. $10 Million for Significant Supervision Violations between 2003 and 2008 CFTC charges relate to risk supervision failures in four separate … CFTC Sanctions MF Global Inc. $10 Million for Significant …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has entered into a consent … Foley to pay $350,000 in civil monetary penalties to settle charges that he directed those he supervised as a former … by the National Futures Association. The order resolves the CFTC’s lawsuit brought on September 14, 2005 in the U.S. …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it filed a Notice of Intent to … for the Southern District of Florida on June 6, 2006 (see CFTC Press Release 5207-06 , July 26, 2006). The consent order settled charges against UIG and other defendants arising from the …
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… Commission today issued three orders filing and settling charges against The Bank of Nova Scotia (BNS), a … million for spoofing and making false statements [See CFTC Press Release No. 8221-20 ], as well as for swap dealer … violations and additional false statements. [See CFTC Press Release No. 8222-20 ] “These record-setting …
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… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on May 30, 2006, the Honorable … follows an eight-day non-jury trial on a complaint the CFTC filed on February 10, 2004 (see CFTC News Release 4892-04 , February 11, 2004). The … Final Judgment in Trial of Fraud Action Brought by the CFTC …
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… Commission today issued an order filing and settling charges against Vitol Inc., an energy and commodities … million in civil monetary penalties and disgorgement. The CFTC’s order finds that Vitol’s fraudulent and manipulative … Task Force and is the first action brought by the CFTC involving foreign corruption. “This historic …
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… October 16, 2014 CFTC Revokes Registration of iFinix Futures, Inc. Based on … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has revoked the registration … the name Pro-Active Futures, had been registered with the CFTC as an independent Introducing Broker. The CFTC …
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… Grain Trade Council for their continuing support for the CFTC and their vital contribution to maintaining an open and … it is an honor and privilege to serve as Chairman of the CFTC during this time of great challenge and opportunity, I … agency single-handedly. Let me say at the outset that the CFTC relies on the leadership and judgment of all its …
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