Displaying results 141 - 150 of 2823
CFTC Charges Unregistered Commodity Trading Advisor with Fraud, Misappropriation, and Unregistered Commodity Pool Operator with Misappropriation
… of Somerset, Wisconsin. In its continuing litigation, the CFTC seeks full restitution, disgorgement of any ill-gotten … false or misleading statements of a material fact to the CFTC. The CFTC alleges Miller made material misrepresentations about … CFTC Charges Unregistered Commodity Trading Advisor with …
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CFTC Files Enforcement Action Charging Kevin A. Marshburn and Prudential Securities 4023-97 (
… CFTC Docket #97-8 Full text of Complaint … CFTC Files Enforcement Action Charging Kevin A. Marshburn …
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CFTC Charges California and Colorado Residents in Ongoing Multimillion-Dollar Ponzi Scheme
… Christopher Mancuso and Joseph Tufo . The complaint also charges Colorado-based defendants John P. Glenn and his law … the relief defendants’ assets, as well as permitting the CFTC to inspect all the defendants’ and the relief … records.   “This action is among the latest examples of the CFTC’s efforts to aggressively root out fraud and bad actors …
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CFTC Charges 10 Commodity Trading Advisors for Failing to Maintain NFA Memberships
… Futures Trading Commission today announced the filing of charges against 10 commodity trading advisors (CTAs) for … in a registered futures association (RFA) as required by CFTC regulations. Compliance with this provision necessarily … (NFA), which is the only RFA currently registered with the CFTC. The 10 respondents named in the CFTC’s complaints are: …
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CFTC Charges Texas Man and His Company With Defrauding Customers of $4.5 Million
… 14, 2006 U.S. Commodity Futures Trading Commission Charges Texas Man and His Company With Defrauding Customers … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a civil action on August … fraud and the issuance of false reports to customers. The CFTC complaint alleges that since 1995 and continuing …
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CFTC Charges South African Pool Operator and CEO with $1.7 Billion Fraud Involving Bitcoin
… largest fraudulent scheme involving Bitcoin charged in any CFTC case. In its continuing litigation, the CFTC seeks full restitution to defrauded investors, … sufficient funds or assets.  Case Background The complaint charges that from approximately May 18, 2018 through …
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CFTC Charges Georgia Man with Fraudulent Scheme to Profit from COVID-19
… unlawful commodity pool, and failure to register with the CFTC.  According to the complaint, Ramos falsely promised … This is the second enforcement action brought by the CFTC alleging misconduct directly tied to the pandemic. [See CFTC Press Release No. 8195-20 ]  “We will continue …
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CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked Ponzi Scheme
… February 14, 2020 CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked … charging them with fraud and failing to register with the CFTC.   The complaint charges that the defendants solicited … CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked …
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CFTC Charges Unregistered Commodity Pool Operator and Its Principal with Fraud and Misappropriation
… February 14, 2020 CFTC Charges Unregistered Commodity Pool Operator and Its … and misappropriation.   In its continuing litigation, the CFTC seeks full restitution to defrauded clients, … CFTC Charges Unregistered Commodity Pool Operator and Its …
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CFTC Charges California-based Company and Its CEO with Fraudulent Solicitation and Misappropriation of Digital Asset Commodities
… District Court for the Eastern District of New York, the CFTC alleges the defendants fraudulently solicited over $7 … In its continuing litigation against the defendants, the CFTC seeks restitution, disgorgement, civil monetary … further violations of the Commodity Exchange Act and CFTC regulations, as charged. “This action demonstrates our …
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