Displaying results 1351 - 1360 of 2823
CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations
… January 17, 2017 CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against CNCGC Hong Kong Ltd. (CNCGC HK), an … CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty …
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Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its Principals
… July 26, 2019 Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its … court erred in dismissing the case, and ruled that the CFTC’s charges of fraud and illegal off-exchange commodity trading … Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Deposit Company and its …
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CFTC Orders Designated Contract Market to Pay $6.5 Million for System Safeguard, Reporting, and False Statement Violations
… today issued an order simultaneously filing and settling charges against CX Futures Exchange, L.P. (CX), a designated … for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to system safeguards, swap … option reporting, and a giving a false statement to the CFTC. The order requires CX to pay a $6.5 million civil …
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CFTC Orders Utah Resident Scott A. Beatty and his Company, Peak Capital Management Group, Inc., to Pay over $1.6 Million for Forex Fraud and Making False Statements to the CFTC During an Investigation
… September 30, 2014 CFTC Orders Utah Resident Scott A. Beatty and his Company, … Million for Forex Fraud and Making False Statements to the CFTC During an Investigation Beatty and Peak Capital Are … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Scott A. Beatty of …
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CFTC Orders Registrant to Pay $1.5 Million for Violations Related to Cyber Breach
… September 12, 2019 CFTC Orders Registrant to Pay $1.5 Million for Violations … today issued an order filing and simultaneously settling charges against Phillip Capital Inc. (PCI), a registered … is a real and growing threat in our markets,” said CFTC Director of Enforcement James McDonald.  “While it may …
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The CFTC Sanctions Toronto-Based Scotia Capital Inc. $250,000 for Prearranged Fictitious Trades
… Release: 5777-10 For Release: January 28, 2010 The CFTC Sanctions Toronto-Based Scotia Capital Inc. $250,000 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Scotia Capital Inc . (SCI), for prearranging …
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CFTC Orders Connecticut-Based Tillage Commodities, LLC to Pay a $150,000 Civil Monetary Penalty for Supervision Failures
… September 28, 2017 CFTC Orders Connecticut-Based Tillage Commodities, LLC to … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Connecticut-based Tillage Commodities, LLC …
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CFTC Obtains Final Judgment Against Michigan Commodity Pool Operator and His Company for a Fraudulent Forex Scheme
… Background The order, entered on December 13, stems from a CFTC complaint filed on August 17, 2021. [See CFTC Press Release 8415-21 ] The order finds that starting … ( See United States v. Bazzi , 2:21-cr-20348-DML-DRG) The CFTC cautions that orders requiring payment of funds to …
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CFTC Orders The Bank of Nova Scotia to Pay $50 Million for Swap Dealer Compliance and Supervision Failures and False Statements
… Commission issued an order today filing and settling charges against The Bank of Nova Scotia (BNS), a … diligently, and making false or misleading statements to CFTC staff during the course of the Division of … any further violations of the Commodity Exchange Act and CFTC regulations, as charged. The order also requires BNS to …
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CFTC Orders Michigan Man to Pay $150,000 for Registration Violation of Commodity Trading Advisor Regulation
… Commission today issued an order filing and settling charges against Brian Mitchell , a Michigan resident, for … on Mitchell from trading on or subject to the rules of any CFTC-registered entity, and from engaging in any activities requiring CFTC registration.  Case Background Between January 2018 and …
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