Displaying results 1321 - 1330 of 2823
… July 18, 2012 CFTC Orders LMC Asset Management, Inc. to Pay $140,000 Civil … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order settling charges that LMC Asset Management, Inc. (LMC) of Deerfield … CFTC Orders LMC Asset Management, Inc. to Pay $140,000 Civil …
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… Today, the Commodity Futures Trading Commission (CFTC or Commission) announced the entry of a consent order … against MTI, and effectively concludes a case that the CFTC filed in June 2022. This case simultaneously … a few of the most important initiatives that the CFTC is currently pursuing through our Division of …
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… SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') charges fees to designated contract markets and registered … Futures Trading Commission; (202) 418- 5218, dfrederickson@cftc.gov. For information on electronic payments, contact …
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… September 30, 2010 CFTC Imposes Permanent Trading Ban on Kevin McCormick for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today simultaneously filed and settled charges against Kevin McCormick , a former member of the … CFTC Imposes Permanent Trading Ban on Kevin McCormick for …
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… Commission regulations, as charged. The order stems from a CFTC complaint filed on October 24, 2019, which charged … prohibited activities as a commodity trading advisor. [See CFTC Press Release No. 8061-19 ] The order finds that … prevented him from honoring their withdrawal requests. The CFTC cautions that orders requiring repayment of funds to …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing new rules, and guidance and acceptable … Web site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions for submitting comments … the cancellation of trades, the issuance of disciplinary charges against members or market participants, denials of …
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… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing new rules and amended guidance and … Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments … of Investigation Report iv. Proposed Sec. 38.704--Notice of Charges v. Proposed Sec. 38.705--Right to Representation vi. …
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… today issued an order filing and simultaneously settling charges against Cody Malosi Wilson of Idaho Falls, Idaho for … a commodity pool operator (CPO) and failing to comply with CFTC regulations regarding CPOs. The order requires Wilson … further violations of the Commodity Exchange Act (CEA) or CFTC regulations, as charged. Case Background The order …
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… victims in a $1.3 billion Ponzi scheme case brought by the CFTC in 2009. [See CFTC Press Release No. 5621-09 ] Specifically, the … to victims, constituting 100% of all approved claims,” said CFTC Division of Enforcement Director James McDonald. “This … of New York Ponzi Scheme Recover Over $1 Billion Following CFTC Enforcement Action …
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… Fabio Bretas de Freitas , formerly of Miami, Florida. The CFTC initiated revocation proceedings against Phy Capital and Bretas on May 7, 2020. [See CFTC Press Release No. 8163-20 ] CFTC Judgment Officer Kavita Kumar Puri issued an Initial … CFTC Revokes Registrations of Florida Company and its CEO …
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