Displaying results 1501 - 1510 of 2823
CFTC Orders Proprietary Trading Firm to Pay Record $67.4 Million for Engaging in a Manipulative and Deceptive Scheme and Spoofing
… November 7, 2019   CFTC Orders Proprietary Trading Firm to Pay Record $67.4 … Commission today issued an order filing and settling charges against Tower Research Capital LLC , a proprietary … schemes. This case was brought in connection with the CFTC Division of Enforcement’s Spoofing Task Force. “I’ve …
Created on:
CFTC Obtains Court Order against Arizona Resident Thomas L. Hampton for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator
… January 31, 2014 CFTC Obtains Court Order against Arizona Resident Thomas L. … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge H. Russel Holland of the … as charged. Hampton has never been registered with the CFTC. The Order, entered on January 23, 2014, stems from a …
Created on:
CFTC Orders London-Based Swap Dealer to Pay $3.25 Million for Swap-Data Reporting, Conflicts of Interest, Mid-Market Mark, and Supervision Failures
… Trading Commission today simultaneously filed and settled charges against ED&F Man Capital Markets, Ltd. (ED&F Man), a … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. “The CFTC will not hesitate to bring cases against swap dealers …
Created on:
Futures Commission Merchants (FCMs)
… may apply and the impact of foreign exchange rates. The CFTC has permitted the use of a "generic" risk disclosure … show, e.g., all transactions occurring in the month, all charges and credits to the account, and the account balance. … records are kept, they must be open to inspection by the CFTC, the National Futures Association, and the Department …
Created on:
CFTC Orders Interdealer Broker to Pay $13 Million for Supervisory Failures and False Statements
… September 13, 2019   CFTC Orders Interdealer Broker to Pay $13 Million for … Commission today issued two orders filing and settling charges against Tullett Prebon Americas Inc. , an interdealer broker and CFTC-registered introducing broker headquartered in New …
Created on:
Dallas, Texas Area Resident Roger Owen and His Two Companies Ordered to Pay $1.75 Million in Fraud Action Brought by the CFTC
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that the United States District Court … (Phoenix) (both of Greensboro, North Carolina) settling charges that the three defendants fraudulently solicited … commodity trading system. The order stems from a CFTC complaint filed on October 5, 2004 (see CFTC News …
Created on:
CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders
… July 12, 2019 CFTC Files and Settles Enforcement Actions Against Two … Washington, DC  — The Commodity Futures Trading Commission (CFTC) today announced civil enforcement actions against one … and its principals, filing and simultaneously settling charges arising from unauthorized options trading and …
Created on:
CFTC Sanctions Citigroup Private Bank GP, Inc. for Failure to File Annual Reports on Time for the Commodity Pools it Operates
… Release: 5727-09 For Release: October 1, 2009 CFTC Sanctions Citigroup Private Bank GP, Inc. for Failure … DC – The U.S. Commodity Futures Trading Commission (CFTC) today simultaneously filed and settled charges of compliance violations against Citigroup Private …
Created on:
CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees
… Release: 5535-08 For Release: August 26, 2008 CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for … Washington, DC – The Commodity Futures Trading Commission (CFTC) today settled charges of compliance and supervisory violations against … CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for …
Created on:
CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil Monetary Penalty for Violating Cotton Futures Speculative Position Limits
… September 27, 2012 CFTC Orders JP Morgan Chase Bank, N.A. to Pay $600,000 Civil … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that JP Morgan Chase Bank, N.A. … to pay a $600,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in …
Created on: