Displaying results 1491 - 1500 of 2823
CFTC Orders Double Eagle Enterprises, LLC and Eric Arlt to Pay More than $700,000 in Restitution and a Civil Monetary Penalty in Precious Metals Enforcement Action
… May 14, 2015 CFTC Orders Double Eagle Enterprises, LLC and Eric Arlt to … Order also Permanently Bars Respondents from Trading on CFTC-Regulated Markets Washington, DC — The U.S. Commodity … Commission (CFTC) today issued an Order filing and settling charges against Double Eagle Enterprises, LLC, Double Eagle …
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CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia to Pay over $2.9 Million in Restitution and Permanently Bars Them from the Commodities Industry
… August 21, 2014 CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against S.J. Woods, Inc. (SJW) and its owners, Peter … CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia …
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Pennsylvania Resident Joseph Forte Admits to Operating a Multi-Million Dollar Ponzi Scheme in CFTC Enforcement Action
… Admits to Operating a Multi-Million Dollar Ponzi Scheme in CFTC Enforcement Action Forte barred from trading commodity futures and options contracts and CFTC-regulated foreign currency contracts. Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Philadelphia …
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CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay a $600,000 Penalty for Series of Minimum Net Capital Deficits, Untimely Notice, and a Failure to Supervise
… December 10, 2014 CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against IBFX, Inc. f/k/a Tradestation Forex, Inc. … CFTC Orders IBFX, Inc. f/k/a Tradestation Forex, Inc. to Pay …
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CFTC Orders Commodity Trading Firm and Principal to Pay a $315,000 Civil Monetary Penalty for “Cherry-Picking” Scheme
… December 21, 2018 CFTC Orders Commodity Trading Firm and Principal to Pay a … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Jonathan Hansen (Hansen) of Dana Point, … CFTC Orders Commodity Trading Firm and Principal to Pay a …
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CFTC Orders Logista Advisors LLC to Pay $250,000 for Supervision Failures Related to Spoofing on a Foreign Futures Exchange
… September 29, 2017 CFTC Orders Logista Advisors LLC to Pay $250,000 for … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Logista Advisors LLC (Logista), a … CFTC Orders Logista Advisors LLC to Pay $250,000 for …
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CFTC Orders Morgan Stanley Capital Services LLC to Pay $5 Million for Swap Data Reporting Failures
… Commission today announced that it has filed and settled charges against Morgan Stanley Capital Services LLC , a … once again the importance of complying with the CFTC’s swap data reporting requirements,” said Division of Enforcement Director James McDonald.  “The CFTC will continue to scrutinize closely entities that do …
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CFTC Files Enforcement Action against Chinese National Yumin Li and BVI Company Kering Capital Ltd. for Defrauding a CME Member in an Illegal Trading Scheme
… July 6, 2015 CFTC Files Enforcement Action against Chinese National Yumin … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil enforcement action charging … to Kering Capital that Li controlled, the Complaint charges. Further, according to the Complaint, in each of the …
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CFTC Finds Mizuho Bank, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures
… September 21, 2018 CFTC Finds Mizuho Bank, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures CFTC Recognizes Cooperation and Proactive Remediation in … Commission (CFTC) today issued an Order filing and settling charges against Mizuho Bank, Ltd. (Mizuho) for engaging in …
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Technology Advisory Committee
… and Pending Rulemaking Paul M. Architzel, Chief Counsel, CFTC Division of Economic Analysis • Past, Present, and … Regulatory Issues John C. Lawton, Acting Director, CFTC Division of Trading and Markets • Outstanding Issues … and Pending Rulemaking Paul M. Architzel, Chief Counsel, CFTC Division of Economic Analysis • Past, Present, and …
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