Displaying results 1431 - 1440 of 2823
CFTC Orders BGC Financial, L.P. to Pay $3 Million for Supervision, Reporting, and Recordkeeping Violations
… November 22, 2019 CFTC Orders BGC Financial, L.P. to Pay $3 Million for … today issued an order filing and simultaneously settling charges against BGC Financial, L.P ., a futures industry … order further requires BGC to submit these reports to the CFTC and to cease and desist from further violations.       …
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CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations
… Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC , a registered … Bank Secrecy Act Task Force, this case marks the first CFTC enforcement action charging a violation of Regulation … Park and her companies, which were the subject of a 2018 CFTC enforcement action. [See CFTC Press Release No. 7858-18 …
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CFTC Orders Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay $700,000 for Large Trader Reporting and Supervision Violations
… July 25, 2012 CFTC Orders Interactive Brokers LLC, a Registered Futures … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against Interactive Brokers LLC (Interactive), a … CFTC Orders Interactive Brokers LLC, a Registered Futures …
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In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York Banks
… July 25, 2019   In CFTC Actions, Two Former Precious Metals Traders Admit To … Commission today issued two orders filing and settling charges against former precious metals traders at separate … who entered into formal cooperation agreements with the CFTC’s Division of Enforcement (Division) and admitted to …
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MF Global Inc. and Thomas Gilmartin to Pay More Than $77 Million to Settle Actions by CFTC and Receiver ad litem
… Gilmartin to Pay More Than $77 Million To Settle Actions By CFTC and Receiver ad litem Charges Relate to Mishandling of Brokerage Accounts of Hedge … DC – The U.S. Commodity Futures Trading Commission (CFTC) and Stephen J. Harmelin, the Receiver ad litem for the …
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CFTC Orders FirstRand Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT
… August 27, 2014 CFTC Orders FirstRand Bank, Ltd. to Pay $150,000 Civil … DC — The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against financial services company FirstRand Bank, … CFTC Orders FirstRand Bank, Ltd. to Pay $150,000 Civil …
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CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary Penalty for Unlawfully Executing Prearranged, Noncompetitive Trades on the CBOT
… September 25, 2014 CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against financial services company Absa Bank, Ltd. … CFTC Orders Absa Bank, Ltd. to Pay $150,000 Civil Monetary …
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CFTC Obtains Default Judgment against Texas-Based Financial Robotics, Inc. for Fraudulent Forex Scheme
… October 24, 2014 CFTC Obtains Default Judgment against Texas-Based Financial … than $3 Million in Restitution and a Monetary Penalty in CFTC Anti-Fraud Action Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Lee H. Rosenthal of the …
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CFTC Orders New York Trader Simon Posen to Pay a $635,000 Civil Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, Copper, and Crude Oil Futures Markets
… July 26, 2017 CFTC Orders New York Trader Simon Posen to Pay a $635,000 … Monetary Penalty and Permanently Bans Him from Trading in CFTC-Regulated Markets for Spoofing in the Gold, Silver, … Commission (CFTC) today issued an Order filing and settling charges against Simon Posen of New York, New York for …
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CFTC Orders Grain Exporter to Pay a Penalty for Violating Soybeans Futures Speculative Position Limits and for Reporting Violations
… September 14, 2018 CFTC Orders Grain Exporter to Pay a Penalty for Violating … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Honouround (HK) International Trade Co. Ltd. …
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