Displaying results 1401 - 1410 of 2823
… April 29, 2013 CFTC Sanctions Two Illinois Residents $400,000 and Imposes a … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Kevin McLaren and Edward Gorman for engaging …
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… July 26, 2012 CFTC Suspends Registrations of Chicago Mercantile Exchange … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued orders filing and settling charges against Christopher T. Foufas and Maksim Baron of … CFTC Suspends Registrations of Chicago Mercantile Exchange …
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… today issued an order simultaneously filing and settling charges against Walleye Capital LLC (Walleye), a CFTC-registered commodity pool operator (CPO) and commodity … monetary penalty. “This enforcement action demonstrates the CFTC’s commitment to vigorously detect unlawful spoofing …
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… Federal Court Orders Defendant to Pay Over $29 Million in CFTC Fraud Action Richard Matthews, Jr. to Pay Civil … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on November 28, 2006, the … arising out of a complaint filed on October 20, 2004 (See CFTC Press Release 5016-04 , November 2, 2004), permanently …
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… Address of CFTC Commissioner J. Christopher Giancarlo to the American … the views of the Commodity Futures Trading Commission (CFTC), my fellow CFTC commissioners or the CFTC staff. My thanks to Peter … Address of CFTC Commissioner J. Christopher Giancarlo to the American …
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… Commission today issued an order filing and settling charges against Marcus Schultz of Houston, Texas, for … Schultz is also charged with making false statements to the CFTC and ICE Futures US. The order requires Schultz to pay … six years, from trading on or subject to the rules of any CFTC-registered entity and from engaging in any activities …
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… June 7, 2011 CFTC Revokes Registrations of Texas-based M25 Investments, … DC - The U.S. Commodity Futures Trading Commission (CFTC) revoked the registrations of M25 Investments, Inc. … Advisors. The Initial Decision, issued on May 4, 2011 by a CFTC Administrative Law Judge (ALJ), resolves a CFTC …
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… Futures Trading Commission today filed and settled charges against Refinitiv US SEF LLC , a registered swap … 2(a)(13)(G) and 4r(a)(1) of the Commodity Exchange Act and CFTC Regulation 45.3. According to the order, rather than … which identified certain fields required by Part 45 of the CFTC Regulations as optional. As a result, according to …
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… September 22, 2016 CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay … DC — The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to … CFTC Orders United Kingdom-Based Barclays Bank PLC to Pay …
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… p. 26) The re-distribution referred to above references the CFTC’s objective of seeking an interim distribution of the … handled this litigation. Finally, on October 9, 2007, the CFTC filed a Motion for Sanctions against LSAM for its … Shore Limited’s position is unacceptable.” In analyzing the CFTC’s allegations of fraud, the Judge noted that there was …
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