Displaying results 1411 - 1420 of 2823
CFTC Files Action to Revoke the Registrations of Abbas A. Shah, Linuxor Asset Management and Linuxor Capital Management
… Release: 5709-09 For Release: September 1, 2009 CFTC Files Action to Revoke the Registrations of Abbas A. … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed an action to permanently … New York on December 17, 2008, that resolved federal fraud charges, CFTC v. Shah, et al. (Case No. 05-CV-8091 (LAK) …
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CFTC Orders Paris-Based Société Générale SA to Pay a $450,000 Penalty for Failing to Timely Report Swap Transactions
… December 7, 2016 CFTC Orders Paris-Based Société Générale SA to Pay a … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Société Générale SA (Société Générale) for … CFTC Orders Paris-Based Société Générale SA to Pay a …
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Action Against Retail Forex Ponzi Scheme Targeting Spanish Speakers in Puerto Rico and the Continental United States
… The Commodity Futures Trading Commission (CFTC) last Friday filed a complaint against FX Latino Inc. … incentivizes this type of fraud is all too common. [6] The CFTC is continuously engaged in pursuing these alarming … use.  Id. ; see also CFTC Release No. 8513–22, CFTC Charges Wisconsin Woman and Her Companies with Fraud and …
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California Resident Gilbert Philip Castillo, Jr. to Pay More Than $272,000 to Resolve CFTC Anti-Fraud Action
… Philip Castillo, Jr. to Pay More Than $272,000 to Resolve CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that Philip Castillo, Jr. of Walnut … and a $180,000 civil monetary penalty to resolve CFTC charges that he committed fraud in connection with the …
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CFTC Orders North Carolina Man and His Company to Pay $2.6 Million for Fraudulent Solicitation, Pool Fraud, and Failure to Register
… today issued an order simultaneously filing and settling charges against Richard D. Neal of North Carolina and his … and for advertising without making disclosures required by CFTC regulations.  The order requires Neal and Golden … further violations of the Commodity Exchange Act (CEA) or CFTC regulations, as charged. In addition, the order imposes …
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Keynote Address before Edison Electric Institute, CFTC – Dodd Frank - Compliance Forum
… Keynote Address before Edison Electric Institute, CFTC – Dodd Frank - Compliance Forum CFTC Commissioner Scott D. O’Malia December 12, 2011 … easy to focus on how much is changing with Dodd-Frank. The CFTC and the other federal financial regulators are writing …
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CFTC Settles Introducing Broker Fraudulent Solicitation Lawsuit with Florida-Based FCM Guarantors National Commodities Corporation, Inc., and International Commodity Clearing LLC
… Release: 5460-08 For Release: February 21, 2008 CFTC Settles Introducing Broker Fraudulent Solicitation … DC - The U.S. Commodity Futures Trading Commission (CFTC) announced today that it settled charges against registered Futures Commission Merchants … CFTC Settles Introducing Broker Fraudulent Solicitation …
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CFTC Sanctions ADM Investor Services, Inc. $200,000 For Failing To Diligently Supervise Its Employees
… Release: 5639-09 For Release: March 26, 2009 CFTC Sanctions ADM Investor Services, Inc. $200,000 For … DC — The U.S. Commodity Futures Trading Commission (CFTC) today simultaneously filed and settled charges against ADM Investor Services, Inc. (ADMIS) for … CFTC Sanctions ADM Investor Services, Inc. $200,000 For …
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CFTC Files Enforcement Actions against International Commodity Advisors, ProfitStars Int’l Corp., and Paragon FX Enterprises, Alleging Violations of the Commodity Exchange Act and Forex Regulations
… November 16, 2011 CFTC Files Enforcement Actions against International … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced it filed separate but related civil … as a retail foreign exchange dealer (RFED).  The CFTC also charges ICA with unlawfully operating a forex pooled …
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CFTC Settles with TeraExchange LLC for Failing to Enforce Prohibitions on Wash Trading and Prearranged Trading in Bitcoin Swap
… September 24, 2015 CFTC Settles with TeraExchange LLC for Failing to Enforce … today issued an Order filing and simultaneously settling charges against TeraExchange LLC (Tera), a provisionally … trading and prearranged trading on the SEF platform.  The CFTC Order requires Tera to cease and desist from future …
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