Displaying results 1541 - 1550 of 2823
Energy Transfer Partners LP and Three of Its Subsidiaries to Pay a $10 Million Penalty to Settle CFTC Action Alleging Attempted Manipulation of Natural Gas Prices
… of Its Subsidiaries to Pay a $10 Million Penalty to Settle CFTC Action Alleging Attempted Manipulation of Natural Gas … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a $10 million civil monetary penalty in a consent order settling charges against Energy Transfer Partners, L.P. , of Dallas, …
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Technology Advisory Committee
… Technology Advisory Committee CFTC’s Technology Advisory Committee 1155 21st Street, N.W. … Trading Impact on Derivatives Markets: Answering the Charges of Unfair Advantages by HFT firms Witnesses Bryan … Developing a 21st Century Surveillance Program Overview of CFTC’s collection and use of data – Jorge Herrada, Associate …
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CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates
… February 3, 2017 CFTC Orders The Royal Bank of Scotland to Pay $85 Million … of U.S. Dollar ISDAFIX Benchmark Swap Rates In Total, the CFTC Has Imposed $570 Million in Penalties for Attempted … Commission (CFTC) today issued an Order filing and settling charges against The Royal Bank of Scotland plc (RBS) for …
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Customer Advisory: Understand Risks and Markets before Reacting to Internet Hype
… on specific coins or ingots, as well as fees and other charges.   If you would like to learn to trade, there are … about how to protect yourself in markets regulated by the CFTC, visit cftc.gov/LearnAndProtect . Sources to Help You Learn More … about how to protect yourself in markets regulated by the CFTC, visit cftc.gov/LearnAndProtect . Sources to Help You …
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CFTC’s 2008 Fiscal Year Enforcement Roundup: Agency Files 40 Actions, Obtains Record Amount in Penalties and Fines, Discloses Crude Oil Investigation, Forms Forex Task Force
… Release: 5562-08 For Release: October 2, 2008 CFTC’s 2008 Fiscal Year Enforcement Roundup: Agency Files 40 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the enforcement results for its fiscal … which ended on September 30, 2008. During the year, the CFTC’s Division of Enforcement obtained a record total of …
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Charleston, South Carolina-based Defendants Ordered to Pay More than $3.9 Million in Restitution and Civil Penalties to Resolve 2008 CFTC Anti-Fraud Action
… Million in Restitution and Civil Penalties to Resolve 2008 CFTC Anti-Fraud Action CSA Trading Group, Inc. and Michael … DC — The U.S. Commodity Futures Trading Commission (CFTC) obtained more than $3.9 million in restitution and … Michael Derrick Peninger , both of Charleston, S.C., in a CFTC anti-fraud action. The order, entered by the Honorable …
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Statement of Commissioner Rostin Behnam Before Joint Open Meeting of the CFTC and SEC
… by thanking Chairman Tarbert, Chairman Clayton, my fellow CFTC commissioners, the commissioners from the Securities … that will take place, a little more than 11 years ago, the CFTC and SEC held the first joint public meeting in the … [2]    Following two days of public meetings, the CFTC and SEC issued a joint report on regulatory …
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CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool
… December 19, 2016 CFTC Orders Convergent Wealth Advisors LLC to Pay an … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Convergent Wealth Advisors LLC … CFTC Orders Convergent Wealth Advisors LLC to Pay an …
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CFTC Permanently Bars Former CME Floor Broker Thorbjorn Haveman from Trading for Misappropriation and Fictitious, Noncompetitive and Unauthorized Trading
… May 2, 2011 CFTC Permanently Bars Former CME Floor Broker Thorbjorn … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Thorbjorn Haveman of Elmhurst, Ill., for … CFTC Permanently Bars Former CME Floor Broker Thorbjorn …
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CFTC Orders Atlanta Resident Arthur Toole III and His Companies to Pay Restitution and Penalties Totaling More than $493,000 for Commodity Pool Fraud
… July 20, 2017 CFTC Orders Atlanta Resident Arthur Toole III and His … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today the settling of charges against Respondents Arthur Toole III of Atlanta, … CFTC Orders Atlanta Resident Arthur Toole III and His …
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