Displaying results 1421 - 1430 of 2823
CFTC Orders Marubeni America Corporation to Pay $800,000 for Inaccurately Reporting Positions in Multiple Grains
… March 23, 2015 CFTC Orders Marubeni America Corporation to Pay $800,000 for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Marubeni America Corporation (Marubeni), a … CFTC Orders Marubeni America Corporation to Pay $800,000 for …
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CFTC Sanctions Two Firms Offering Digital Asset-Based Swaps for Illegal Off-Exchange Trading and Registration Violations
… Commission today issued an order filing and settling charges against respondents Plutus Financial, Inc. d/b/a … markets, including those involving digital assets,” said CFTC Director of Enforcement James McDonald. “Rooting out … development of these innovative financial products.” The CFTC’s order finds that from approximately December 2017 to …
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Federal Court in South Carolina Orders Robert S. Leben and Amy L. Leben to Pay over $10 Million in Restitution and Penalties in CFTC Anti-Fraud Enforcement Action
… to Pay over $10 Million in Restitution and Penalties in CFTC Anti-Fraud Enforcement Action In a Parallel Criminal … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Chief Judge Terry L. Wooten of … are held accountable. Robert Leben Indicted on Criminal Charges, Ordered to Pay Restitution to Victims, and …
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Statement of Commissioner Caroline D. Pham on Filing of Complaint in CFTC v. Traders Global Group
… of Commissioner Caroline D. Pham on Filing of Complaint in CFTC v. Traders Global Group …
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CFTC Obtains $2.1 Million Judgment Against Iowa Commodity Trader for Fraudulent Scheme
… December 21, 2018 CFTC Obtains $2.1 Million Judgment Against Iowa Commodity … Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that on November 26, an Order and … also permanently bans Friedrichsen from the markets the CFTC regulates and permanently enjoins him from future …
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CFTC Orders Global Agribusiness to Pay $175,000 for Failure to File Timely Reports
… September 30, 2019   CFTC Orders Global Agribusiness to Pay $175,000 for Failure … today issued an order filing and simultaneously settling charges against Intergrain S.A., for failing to file timely CFTC Form 204 Reports.  The CFTC order requires Intergrain … CFTC Orders Global Agribusiness to Pay $175,000 for Failure …
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CFTC Orders X-Change Financial Access LLC to Pay a $150,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures
… May 29, 2018 CFTC Orders X-Change Financial Access LLC to Pay a $150,000 … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against X-Change Financial Access LLC (XFA) of … CFTC Orders X-Change Financial Access LLC to Pay a $150,000 …
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CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures
… August 7, 2017 CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. … in Spoofing of Treasury Futures and Eurodollar Futures CFTC Recognizes The Bank of Tokyo-Mitsubishi UFJ, Ltd.’s … Commission (CFTC) today issued an Order filing and settling charges against The Bank of Tokyo-Mitsubishi UFJ, Ltd. …
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CFTC Orders Introducing Broker and Principal to Pay a $300,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures
… September 17, 2018 CFTC Orders Introducing Broker and Principal to Pay a … Washington, DC – The Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Global Asset Advisors LLC d/b/a Daniels … CFTC Orders Introducing Broker and Principal to Pay a …
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CFTC Obtains $2.5 Million Judgment for Fraudulent Solicitation and Misappropriation of Funds From Commodity Pool Participants
… January 10, 2020 CFTC Obtains $2.5 Million Judgment for Fraudulent … Commodity Exchange Act as charged. Th e order stems from a CFTC Complaint filed on January 12, 2018 [CFTC Press Release 7672-18 ], which charged Carter, … CFTC Obtains $2.5 Million Judgment for Fraudulent …
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