Displaying results 1331 - 1340 of 2823
CFTC Orders Multigrain SA and Agricola Xingu SA to Pay $500,000 for Call Cotton Reporting Violations
… January 15, 2014 CFTC Orders Multigrain SA and Agricola Xingu SA to Pay … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Multigrain SA (Multigrain) and Agricola … CFTC Orders Multigrain SA and Agricola Xingu SA to Pay …
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CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting Violations
… June 27, 2017 CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Huafu HK Co. Ltd . (Huafu), a corporation … CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay …
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CFTC Orders CHS, Inc. and CHS Hedging, LLC to Pay $1 Million for Inaccurately Reporting Positions in Corn and Soybeans
… March 9, 2016 CFTC Orders CHS, Inc. and CHS Hedging, LLC to Pay $1 Million … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against CHS, Inc. (CHS), a cooperative corporation … CFTC Orders CHS, Inc. and CHS Hedging, LLC to Pay $1 Million …
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CFTC Orders Futures Commission Merchant to Pay $500,000 for Supervision Failures Relating to Improper or Fictitious Trade Transfer Requests
… today issued an order simultaneously filing and settling charges against ADM Investor Services Inc. (ADMIS), a … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.   “FCMs are obligated to adequately supervise their agents and employees,” said CFTC Acting Director of Enforcement Gretchen Lowe. “As this …
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CFTC Orders Coinbase Inc. to Pay $6.5 Million for False, Misleading, or Inaccurate Reporting and Wash Trading
… Commission today issued an order filing and settling charges against digital asset exchange operator Coinbase … any further violations of the Commodity Exchange Act or CFTC regulations, as charged. “Reporting false, misleading, … CFTC Orders Coinbase Inc. to Pay $6.5 Million for False, …
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U.S. Attorney Indicts North Carolina Couple Howell and Vernice Woltz for Obstructing Civil Litigation Brought by CFTC
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) applauds the U.S. Attorney for the Western District of … Carolina, concerning their alleged roles in obstructing a CFTC lawsuit. The indictment lays out the Woltzes’ alleged … testimony. Specifically, the federal criminal indictment charges the Woltzes, among other things, as follows: • …
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U.S. Court of Appeals Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals
… the Ninth Circuit affirmed a preliminary injunction in the CFTC’s anti-fraud enforcement action against Monex Deposit … on July 20. The court’s ruling marks the second time the CFTC has prevailed in the Ninth Circuit in the Monex case. … enforcement action, filed in 2017 and currently pending, charges the defendants with defrauding thousands of retail …
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CFTC Orders Morgan Stanley & Co. LLC to Pay $5 Million Civil Monetary Penalty for Unlawful Noncompetitive Trades
… June 5, 2012 CFTC Orders Morgan Stanley & Co. LLC to Pay $5 Million Civil … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges that, over an 18-month period, Morgan Stanley & Co. … CFTC Orders Morgan Stanley & Co. LLC to Pay $5 Million Civil …
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CFTC Obtains $3.8 Million Fraud Judgment Against Commodity Pool Operator and its Owner
… Exchange Act, as charged. This judgment resulted from a CFTC complaint filed on September 9, 2019 that charged the … failing to register with the Commission as required. [See CFTC Press Release No. 8004-19 ] The court found that the … from forex trading when no trades were ever executed. The CFTC cautions that orders requiring payment of funds to …
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CFTC Sanctions Four Registered Commodity Pool Operators for Failing to File Timely Commodity Pool Reports with the National Futures Association
… Release: 5555-08 For Release: September 24, 2008 CFTC Sanctions Four Registered Commodity Pool Operators for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today simultaneously filed and settled charges against four registered commodity pool operators …
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