Displaying results 1381 - 1390 of 2823
CFTC Files Enforcement Actions Against Two Affiliate Marketers for Binary Options Fraud
… October 7, 2019   CFTC Files Enforcement Actions Against Two Affiliate … by unregistered, off-exchange brokers. In one action, the CFTC issued an order filing and settling fraud charges against Sechovich, assessing more than $2.8 million … CFTC Files Enforcement Actions Against Two Affiliate …
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CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
… today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant … or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. The settling registrants admit the facts …
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CFTC Orders Chicago Broker to Pay Over $495,000 for Supervision Failures and Failure to Report Suspicious Activity
… today issued an order filing and simultaneously settling charges against A&A Trading, Inc. , a registered introducing … said Division of Enforcement Director James McDonald. “The CFTC will continue to hold intermediaries responsible for … to do so and did not otherwise report the violations to the CFTC.  The order also finds that after learning Harris was …
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In CFTC Action, Former Trader Krishna Mohan Admits to Engaging in Spoofing and Manipulative Scheme at a Proprietary Trading Firm
… February 25, 2019 In CFTC Action, Former Trader Krishna Mohan Admits to Engaging … and Manipulative Scheme at a Proprietary Trading Firm CFTC Order Recognizes Mohan’s Entry into a Cooperation … Commission (CFTC) today issued an Order filing and settling charges against Krishna Mohan (Mohan), in which Mohan admits …
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CFTC Sues Australian Company, Halifax Investment Services, Ltd., for Unlawfully Soliciting U.S. Customers
… February 5, 2013 CFTC Sues Australian Company, Halifax Investment Services, … DC . – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a complaint in the U.S. … orders from U.S. customers without registering with the CFTC as required. In the forex market, entities known as …
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CFTC Sues One World Capital Group, LLC and its President John Edward Walsh for Inability to Demonstrate it had Required Capital
… Release: 5424-07 For Release: December 18, 2007 CFTC Sues Forex Dealer One World Capital Group, LLC and Its … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that on December 13, 2007 it sued One … CFTC regulations. As of December 10, 2007, the complaint charges, One World failed to demonstrate that it had any net …
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CFTC Orders tpSEF to Pay $850,000 for Violation of 15-Second Delay Rule for Execution of Cross Transactions on a SEF
… today issued an order simultaneously filing and settling charges against  tpSEF, Inc ., a registered swap execution facility (SEF), for failing to comply with the CFTC 15-second delay requirement for certain required … transactions on a SEF order book. Specifically, the CFTC regulation requires that for orders that are …
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CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations
… today issued an order filing and simultaneously settling charges against Jason Gospodarek (Gospodarek) and Quantum … 2017 to January 2019, without being registered with the CFTC, Quantum Financial acted as an introducing broker on … 2017 to January 2019, without being registered with the CFTC, Gospodarek acted as an associated person of a …
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CFTC Orders Chicago-based Advantage Futures LLC, its CEO Joseph Guinan & Former Chief Risk Officer William Steele Jointly to Pay a $1.5 Million Penalty for Supervision, Risk Management Failures & Making Inaccurate Statements in Required CFTC Filings
… September 21, 2016 CFTC Orders Chicago-based Advantage Futures LLC, its CEO … Making Inaccurate Statements in Required Filings with the CFTC Washington, DC – The U.S. Commodity Futures Trading … today issued an Order filing and simultaneously settling charges against Advantage Futures LLC (Advantage), a …
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CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Spoofing and Making False Statements
… Commission today issued two orders filing and settling charges against The Bank of Nova Scotia (BNS), a … $17 million for making false and misleading statements to CFTC staff during the CFTC’s first investigation into the bank’s spoofing (False … CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 …
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