Displaying results 1481 - 1490 of 2823
CFTC Orders Benjamin Hutchen, Formerly of Morgan Stanley & Co. LLC, to Pay a $300,000 Civil Monetary Penalty for Engaging in Unlawful Noncompetitive Futures Trades
… November 27, 2012 CFTC Orders Benjamin Hutchen, Formerly of Morgan Stanley & … for Engaging in Unlawful Noncompetitive Futures Trades CFTC also suspends Hutchen’s registration for a four-month … Commission (CFTC) today issued an order filing and settling charges that Benjamin Hutchen arranged the unlawful …
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CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions
… September 27, 2016 CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Wells Fargo Bank, N.A. (Wells Fargo) for … CFTC Orders Wells Fargo Bank, N.A. to Pay a $400,000 Penalty …
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CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a $150,000 Civil Monetary Penalty for Registration Violations
… September 5, 2017 CFTC Orders Dallas, Texas-based W Resources, LLC to Pay a … Funds as Commodity Pools, without Registering with the CFTC Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Dallas, Texas-based W …
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Federal Court in Idaho Orders CFTC Defendant Trigon Group, Inc. to Return More than $20.6 million of Ill-Gotten Gains to Victims of its Fraud
… December 5, 2012 Federal Court in Idaho Orders CFTC Defendant Trigon Group, Inc. to Return More than $20.6 … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Edward J. Lodge of the U.S. … Exchange Act, as charged. The consent order stems from a CFTC complaint filed on February 27, 2009, that charged the …
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CFTC Sanctions Foreign Currency Broker Who Allowed Confidential Personal Information of its Customers to Appear on the Internet
… Release: 5670-09 For Release: June 29, 2009 CFTC Sanctions Foreign Currency Broker Who Allowed … Trading Commission today simultaneously filed and settled charges against I nterbank FX, LLC (Interbank), ordering … the confidential personal information of consumers. The CFTC order also requires Interbank to establish a …
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In CFTC Action, Former Trader Kamaldeep Gandhi Admits to Engaging in Spoofing and Manipulative Schemes at Proprietary Trading Firms
… October 12, 2018 In CFTC Action, Former Trader Kamaldeep Gandhi Admits to … and Manipulative Schemes at Proprietary Trading Firms CFTC Order Recognizes Gandhi’s Entry into a Cooperation … Commission (CFTC) today issued an Order filing and settling charges against Kamaldeep Gandhi , in which Gandhi admits to …
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CFTC Orders California, Florida, and Nevada Companies and Their Owners to Pay More than $940,000 in Restitution to Defrauded Customers for Offering Illegal, Off-Exchange Precious Metals Transactions
… April 8, 2014 CFTC Orders California, Florida, and Nevada Companies and … Company Rockwell Asset Management, Inc. Charged in Separate CFTC Orders Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) filed and settled charges against three companies and their owners …
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CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 for Violation of Customer Protection Regulation
… September 27, 2013 CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against R.J. O’Brien & Associates LLC (RJO), a … CFTC Orders R.J. O’Brien & Associates LLC to Pay $125,000 …
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Customer Advisory: Beware Offers to Receive and Forward Money
… lead to serious consequences, including civil and criminal charges. Wedded to Romance Scams The rapid growth of romance … have caused a significant increase in complaints to the CFTC and other federal agencies in recent years. In 2022, … , and contact your  local FBI field office . What the CFTC is Doing to Protect the Public The CFTC joined the 2023 …
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CFTC Commissioner Sharon Brown-Hruska Reported on Mymoney.gov Activities to the Financial Literacy and Education Commission
… Release: 5183-06 For Release: May 17, 2006 CFTC Commissioner Sharon Brown-Hruska Reported on … Brown-Hruska of the Commodity Futures Trading Commission (CFTC) and Chairman of the Financial Literacy and Education … CFTC Commissioner Sharon Brown-Hruska Reported on …
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