Displaying results 1391 - 1400 of 2823
CFTC Orders ICE Futures U.S., Inc. to Pay a $3 Million Civil Monetary Penalty for Recurring Data Reporting Violations
… March 16, 2015 CFTC Orders ICE Futures U.S., Inc. to Pay a $3 Million Civil … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against ICE Futures U.S., Inc. (ICE), a designated … CFTC Orders ICE Futures U.S., Inc. to Pay a $3 Million Civil …
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California Federal Court Freezes Assets of Paul Abad and His Company, Thirteen Thirty-Two, Inc. in CFTC Anti-Fraud Action
… of Paul Abad and His Company, Thirteen Thirty-Two, Inc. in CFTC Anti-Fraud Action Defendants Charged with Commodity … DC ― The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a federal court order … broker had a zero balance. Additionally, the complaint charges defendants with failing to register as a commodity …
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CFTC Orders Florida Resident Matthew L. Hall to Pay over $200,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions
… September 4, 2013 CFTC Orders Florida Resident Matthew L. Hall to Pay over … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Matthew L. Hall , individually and doing … CFTC Orders Florida Resident Matthew L. Hall to Pay over …
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Davisco Foods International, Inc. Ordered to Pay $150,000 Penalty for Acting as a Futures Commission Merchant without Registering with the CFTC
… a Futures Commission Merchant without Registering with the CFTC Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Davisco Foods International, Inc. , based in … a Futures Commission Merchant without Registering with the CFTC …
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U.S. Attorney Follows CFTC Civil Complaint with Filing of a Criminal Information Against George D. Hudgins of Nacogdoches, Texas for Operating a Commodities Ponzi Scheme
… 5523-08 For Release: July 28, 2008 U.S. Attorney Follows CFTC Civil Complaint with Filing of a Criminal Information … DC — The U.S. Commodity Futures Trading Commission (CFTC) applauds the filing by the U.S. Attorney for the … with the operation of a commodity pool. The Information charges Hudgins with one count of embezzlement under the …
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CFTC Sues Boca Raton Resident Michael A. Meisner and His Company, Phoenix Diversified Investment Corp., in Commodity Pool Anti-Fraud Action
… Release: 5556-08 For Release: September 25, 2008 CFTC Sues Boca Raton Resident Michael A. Meisner and His … DC – The U.S. Commodity Futures Trading Commission (CFTC) sued Michael A. Meisner , who resides in Boca Raton, … U.S. District Court for the Southern District of Florida, charges Meisner and Phoenix with fraudulently soliciting …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Order Against The Bank of Nova Scotia and Scotia Capital USA Inc. for Recordkeeping and Supervision Failures Relating to Offline Communications
… Today, the Commodity Futures Trading Commission (CFTC or Commission) issued an order settling charges against The Bank of Nova Scotia and Scotia Capital … maintain, preserve, and produce records in compliance with CFTC recordkeeping requirements with respect to certain …
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CFTC Orders Interactive Brokers LLC to Pay a $1.75 Million Penalty for Supervision Failures
… Trading Commission today filed and simultaneously settled charges against  Interactive Brokers LLC , a registered … and calculate margin on April 20, 2020, in violation of CFTC Regulation 166.3.          The order requires … customers.  “This enforcement action demonstrates that the CFTC will hold registrants responsible for their handling of …
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CFTC Files and Settles Commodity Pool Fraud Action against Minnesota Resident Michael J. Liskiewicz
… Action against Minnesota Resident Michael J. Liskiewicz CFTC Finds that Liskiewicz Misappropriated Funds and … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and simultaneously settling charges against Michael J. Liskiewicz of Duluth, Minnesota. …
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CFTC Wins Judgment against Commodities Trader for Commodity Pool Fraud, Including Misappropriating Funds
… December 6, 2018 CFTC Wins Judgment against Commodities Trader for Commodity … Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that Defendant Mark R. Slobodnik of … Commodity Exchange Act as charged. The Order stems from a CFTC Complaint filed on January 12, 2018 (see CFTC Complaint …
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