Displaying results 1461 - 1470 of 2823
CFTC Orders Morgan Stanley Capital Group Inc. to Pay $200,000 Penalty for Violating Soybean Meal Futures Speculative Position Limits
… March 24, 2014 CFTC Orders Morgan Stanley Capital Group Inc. to Pay … DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Morgan Stanley Capital Group Inc. … to pay a $200,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in …
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CFTC Finds that Proprietary Trading Firm Arab Global Commodities DMCC Engaged in Spoofing of Copper Futures Contracts
… October 10, 2017 CFTC Finds that Proprietary Trading Firm Arab Global … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Arab Global Commodities DMCC (AGC), a … CFTC Finds that Proprietary Trading Firm Arab Global …
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Tampa Resident Edward J. Evors Ordered to Pay $904,000 in Restitution and Civil Monetary Penalties in CFTC Action
… Pay $904,000 in Restitution and Civil Monetary Penalties in CFTC Action Evors Permanently Prohibited from Engaging in … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained $452,000 in … of Florida. The consent order as to Evors resolves CFTC charges that he misappropriated customer funds that he …
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CFTC Orders Citigroup Inc. and Citigroup Global Markets Ltd. to Pay $525,000 Penalty for Violating Wheat Futures Speculative Position Limits
… September 21, 2012 CFTC Orders Citigroup Inc. and Citigroup Global Markets Ltd. … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges that Citigroup Inc. (Citigroup) of New York, N.Y., … CFTC Orders Citigroup Inc. and Citigroup Global Markets Ltd. …
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Statement of Commissioner Kristin N. Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties to Deter Repeated Compliance Failures
… the Commodity Futures Trading Commission (the Commission or CFTC) announced and resolved charges against Goldman Sachs & Co. LLC (Goldman) for (i) … under the Commodity Exchange Act (CEA) and existing CFTC regulations, and (ii) thus, violating a 2019 Commission …
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Case Status Report: Yellowstone Partners, Inc
… On March 31, 2011 , the Court issued an order granting the CFTC's motion to appoint Bruce McDaniel as temporary … (919) 790-9273 On March 1, 2011 , the Court granted the CFTC's motion for entry of default judgment. The Court found … al. Order: CFTC v. Yellowstone Partners, Inc., et al. CFTC Charges Raleigh, North Carolina Man and His Company, …
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CFTC Issues FY 2007 Financial Report; Third Consecutive Clean Opinion on Its Audited Financial Statements
… Release: 5422-07 For Release: December 17, 2007 CFTC Issues FY 2007 Financial Report Third Consecutive Clean … DC – Today, Commodity Futures Trading Commission (CFTC) Acting Chairman Walt Lukken announced that, for the … statements. Moreover, the FY 2007 report shows the CFTC in substantial compliance with all financial laws and …
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CFTC Orders Nevada Man and His Company to Pay $374,000 for Fraudulent Solicitation and Misappropriation in Forex Scheme
… Commission today issued an order filing and settling charges against Cody Ryan Porter of Nevada and his company … KatchPips FX from trading on or subject to the rules of any CFTC-registered entity, and from engaging in any activities requiring CFTC registration. Case Background According to the order, …
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CFTC Orders The Bank of New York Mellon to Pay $750,000 For Swap Reporting Violations
… October 1, 2019 CFTC Orders The Bank of New York Mellon to Pay $750,000 For … Washington, DC —  On Monday, September 30, 2019, the CFTC filed and settled charges against The Bank of New York Mellon , a … CFTC Orders The Bank of New York Mellon to Pay $750,000 For …
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CFTC Imposes A $1.25 Million Penalty against Kraken for Offering Illegal Off-Exchange Digital Asset Trading and Failing to Register as Required
… Commission today issued an order filing and settling charges against respondent Payward Ventures, Inc. d/b/a … Exchange Act (CEA), as charged. “This action is part of the CFTC’s broader effort to protect U.S. customers,” said … all applicable laws and regulations.” Case Background The CFTC’s order finds that from approximately June 2020 to July …
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