Displaying results 1551 - 1560 of 2823
CFTC Orders Florida Man and His Company to Pay Over $397,000 in Connection with a Digital Assets Solicitation Scheme
… today that it has issued an order filing and settling charges against Jozef Gherman of Florida and J Squared LLC , … J Squared from trading on or subject to the rules of any CFTC-registered entity, and from engaging in any activities requiring registration with the CFTC. “The CFTC will continue to work to protect …
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CFTC Orders Minneapolis-based Alfred C. Toepfer International, Inc. to Pay $400,000 for Inaccurately Reporting Positions in Multiple Grains
… September 30, 2015 CFTC Orders Minneapolis-based Alfred C. Toepfer … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Alfred C. Toepfer International, Inc. … CFTC Orders Minneapolis-based Alfred C. Toepfer …
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CFTC Sues Sentinel Management Group, Inc. and Two of Its Executive Officers for Fraud, Segregation, and False Reporting Violations Involving $562 Million in Customer Funds
… Release: 5494-08 For Release: May 1, 2008 CFTC Sues Sentinel Management Group, Inc. and Two of Its … DC - The U.S. Commodity Futures Trading Commission (CFTC) announced today that it sued Northbrook, Illinois … segregation to secure the BONY loan. The complaint also charges that Mosley is liable for aiding and abetting …
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In CFTC Action, Federal Court Orders Hedge Fund and Its Principals To Pay More Than $1 Million for Fraud and Registration Violations
… November 15, 2018 In CFTC Action, Federal Court Orders Hedge Fund and Its … Orders resolve the Commodity Futures Trading Commission’s (CFTC) enforcement action against the Defendants, filed on … solicitation and misappropriation of funds, among other charges (see CFTC Complaint and Press Release 7710-18 ). …
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CFTC Orders Barclays to Pay $115 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates
… May 20, 2015 CFTC Orders Barclays to Pay $115 Million Penalty for … False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates CFTC Also Took Action Today Against Barclays for Abuses of … Commission (CFTC) issued an Order today filing and settling charges against Barclays PLC , Barclays Bank PLC , and …
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New CFTC Customer Advisory Cautions the Public to Beware of Trading Based on Internet Hype
… state regulators as well as consumer protection groups. The CFTC’s full repository of customer education materials can be found at: https://www.cftc.gov/LearnAndProtect . Customers and other individuals … on specific coins or ingots, as well as fees and other charges.   If you would like to learn to trade, there are …
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CFTC Sues Virginia-based Financial Investments, Inc. for Repeatedly Failing to File Annual Reports in a Timely Manner for a Commodity Pool It Operated
… Release: 5789-10 For Release: March 8, 2010 CFTC Sues Virginia-based Financial Investments, Inc. for … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a complaint in the U.S. … ., beginning in 2004 until December 2008. Specifically, the CFTC’s civil complaint, filed on March 5, 2010, alleges that …
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CFTC Orders Bitfinex to Pay $75,000 for Offering Illegal Off-Exchange Financed Retail Commodity Transactions and Registration Violations
… June 2, 2016 CFTC Orders Bitcoin Exchange Bitfinex to Pay $75,000 for … today issued an Order filing and simultaneously settling charges against Hong Kong-based bitcoin exchange, BFXNA Inc … immediate possession to the buyer or the buyer’s agent.” CFTC v. Hunter Wise Commodities LLC, 749 F.3d 967, 978-79 …
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CFTC Orders Wells Fargo to Pay Over $14 Million for Violating Swap Dealer Business Conduct Standards
… November 8, 2019 CFTC Orders Wells Fargo to Pay Over $14 Million for … Commission today issued an order filing and settling charges against Wells Fargo Bank, N.A. for violating … $4.475 million, and to cease and desist from violating the CFTC’s business conduct standards.  “The CFTC’s business …
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CFTC Staff Issues Interpretative Guidance Regarding Customer Margin Deposits Submitted Using Automated Clearing House Payment Processing Systems
… October 23, 2014 CFTC Staff Issues Interpretative Guidance Regarding Customer … CFTC Staff Issues Interpretative Guidance Regarding Customer …
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