Displaying results 1531 - 1540 of 2823
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief to Introducing Brokers for Certain Financial Reporting Requirements
… January 23, 2015 CFTC’s Division of Swap Dealer and Intermediary Oversight … not be required to apply certain foreign currency capital charges under Regulation 1.17 and staff guidance. The relief … CFTC’s Division of Swap Dealer and Intermediary Oversight …
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Testimony of CFTC Chairman Gary Gensler before the U.S. House Agriculture Committee
… hearing on the Commodity Futures Trading Commission’s (CFTC) 2012 agenda. I also thank my fellow Commissioners and CFTC staff for their hard work and commitment to protecting … and efficient markets. I’m pleased to be here with CFTC Commissioner Jill Sommers. CFTC Mission At its core, …
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CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator
… June 12, 2013 CFTC Files Enforcement Action against Arizona Resident for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a civil complaint … L. Hampton, an Arizona resident. The CFTC’s complaint charges Hampton with acting as an unregistered commodity …
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CFTC and Defendant Paul Greenwood Agree to a Consent Order Finding that Greenwood Operated a Multi-Billion Dollar Investment Scam
… July 29, 2010 CFTC and Defendant Paul Greenwood Agree to a Consent Order … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in New York … relief against Paul Greenwood of North Salem, N.Y. The CFTC charged Greenwood with operating a $1.3 billion …
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CFTC Orders Indiana Resident Terry Lee Phillips and his Two Companies to Pay Restitution and a Civil Monetary Penalty Totaling More than $234,000 for Fraud and Misappropriation
… September 17, 2015 CFTC Orders Indiana Resident Terry Lee Phillips and his Two … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Terry Lee Phillips of Indianapolis, Indiana, … CFTC Orders Indiana Resident Terry Lee Phillips and his Two …
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay a $150,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swap Positions
… September 17, 2015 CFTC Orders Australia and New Zealand Banking Group Ltd. to … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Australia and New Zealand Banking Group Ltd. … CFTC Orders Australia and New Zealand Banking Group Ltd. to …
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CFTC Orders Florida Resident Isaac Grossman and His Company, London Metals Market LLC, to Pay over $121,000 in Restitution for Illegal, Off-Exchange Precious Metals Transactions
… September 4, 2013 CFTC Orders Florida Resident Isaac Grossman and His Company, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Isaac Grossman , a resident of Parkland, … CFTC Orders Florida Resident Isaac Grossman and His Company, …
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Florida Resident Joerg Heierle and Swiss Corporation INH-Interholding SA Ordered to Pay More Than $9 Million in Restitution and Penalties in CFTC Commodity Pool Anti-Fraud Action
… to Pay More Than $9 Million in Restitution and Penalties in CFTC Commodity Pool Anti-Fraud Action Relief Defendant … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that Joerg Heierle , of Miami Beach, … of Florida, following their failure to appear or answer the CFTC’s complaint charging them with fraud in connection with …
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Charles DeFazio And Galaxy Resources 2000, LLC to Pay $1.43 Million In Sanctions to Settle CFTC Pool Fraud Action
… 2000, LLC to Pay $1.43 Million in Sanctions to Settle CFTC Pool Fraud Action Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) announced today that it settled a commodity pool fraud … and used some of those funds to pay a mortgage, credit card charges and other personal expenses. DeFazio and Galaxy were …
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CFTC Imposes a Monetary Penalty and Permanently Bars California Resident Garen Ovsepyan and Forex Trading Advisors Sharpe Signa, LLC and Haeres Capital, LLC from the Commodities Industry
… December 7, 2015 CFTC Imposes a Monetary Penalty and Permanently Bars … LLC and Haeres Capital, LLC from the Commodities Industry CFTC Finds that Respondents Made False Statements to the … today issued an Order filing and simultaneously settling charges against Garen Ovsepyan of Glendale, California, and …
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