Displaying results 1511 - 1520 of 2823
CFTC Orders Chicago Prop Firm and 3 Traders to Pay $745,000 for Spoofing in Agricultural and Metals Futures
… Commission issued four orders today filing and settling charges against  Brendan Delovitch and Wesley Johnson both … four months from trading on or subject to the rules of any CFTC-designated exchange and all other CFTC-registered entities and in all commodity interests. All …
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CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions
… July 6, 2016 CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Bank PLC (Barclays) for failing to … CFTC Orders London-Based Barclays Bank PLC to Pay a $560,000 …
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Federal Court Freezes Assets of Moroccan Resident Richmond Hamilton, Jr., and the Chicago Commodity Pool He Manages in a $1 Million Pool Anti-Fraud Case Brought by the CFTC
… Manages in a $1 Million Pool Anti-Fraud Case Brought by the CFTC Court appoints a receiver to indentify assets and funds … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained an emergency court … pool organized by Hamilton in 1987. The CFTC complaint also charges Hamilton with making false statements to the …
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CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher to Pay $525,000 Penalty for Violating Speculative Position Limits in Live Cattle Futures
… September 24, 2014 CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Kennith Wayne Thrasher (Kennith Thrasher) … CFTC Orders Kennith Wayne Thrasher and Kennith Luke Thrasher …
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Federal Court in Missouri Orders Randall L. Stuckey and His Business Entities to Pay a $250,000 Penalty to Settle CFTC Forex Futures Fraud Action
… His Business Entities to Pay a $250,000 Penalty to Settle CFTC Forex Futures Fraud Action In related criminal action, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on July 11, 2012, Judge Carol E. … bans against the defendants. The order stems from a CFTC complaint filed on February 18, 2011, that charged the …
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CFTC Finds that Proprietary Trading Firm Geneva Trading USA, LLC Engaged in Spoofing
… September 20, 2018 CFTC Finds that Proprietary Trading Firm Geneva Trading USA, … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Geneva Trading USA, LLC (Geneva), a … CFTC Finds that Proprietary Trading Firm Geneva Trading USA, …
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CFTC Sanctions Chicago-based Walsh Trading Inc. $50,000 for Failing to Supervise an Employee's Handling of Customer Accounts
… Release: 5631-09 For Release: March 11, 2009 CFTC Sanctions Chicago-based Walsh Trading Inc. $50,000 for … DC ― The U.S. Commodity Futures Trading Commission (CFTC) settled charges of failure to supervise the handling of customer … CFTC Sanctions Chicago-based Walsh Trading Inc. $50,000 for …
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CFTC Orders HSBC Bank USA, N.A. to Pay a $45 Million Penalty for Manipulative and Deceptive Trading in Connection with Swaps Related to Bond Issuances, Spoofing, and Supervision and Mobile Device Recordkeeping Failures
… today issued an order simultaneously filing and settling charges against HSBC Bank USA, N.A. (HSBC), a provisionally … this conduct. Today’s order makes it crystal clear that the CFTC will continue to vigilantly investigate and prosecute … In accepting HSBC’s Offer of Settlement, the CFTC recognizes the substantial cooperation of HSBC with the …
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Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law: Program on Corporate Compliance & Enforcement
… James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law:  Program on Corporate Compliance & … closely at the Commodity Futures Trading Commission (CFTC).  At every stage of our agency’s history, we’ve sought … (highest), percentage of cases that include individual charges (more than 2/3), or the number and amount of …
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In CFTC Action, Former Precious Metal Trader Admits to Engaging in Spoofing at Two New York Banks
… September 16, 2019 In CFTC Action, Former Precious Metal Trader Admits to Engaging … Commission today issued an order filing and settling charges against Christian Trunz , a former precious metals … who entered into a formal cooperation agreement with the CFTC’s Division of Enforcement and admitted to spoofing in …
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