Displaying results 1561 - 1570 of 2823
CFTC Orders Foreign Traders SMP Bank and Epaster Investments, Ltd. to Pay $980,000 for Engaging in a Wash Sale Scheme in the CME’s Japanese Yen Options Contract
… August 27, 2012 CFTC Orders Foreign Traders SMP Bank and Epaster … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against SMP Bank (SMP), headquartered in Moscow, … CFTC Orders Foreign Traders SMP Bank and Epaster …
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Federal Court in California Orders Charles Steven Goodie and His Business, CSG Commodity Service Group, to Pay Nearly $1.2 Million to Settle CFTC Commodity Pool Fraud Action
… Service Group, to Pay Nearly $1.2 Million to Settle CFTC Commodity Pool Fraud Action In related criminal action, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on August 23, 2012, Judge William … to pay restitution of $494,633. The order stems from a CFTC complaint filed on November 23, 2011, that charged the …
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CFTC Obtains Default Judgment and Permanent Injunction Order against ProfitStars Intl, Corp. and Ulysis Starling for Engaging in a Business that Operated as a Deceit and Violating a Regulatory Disclosure Requirement
… September 21, 2012 CFTC Obtains Default Judgment and Permanent Injunction Order … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Paul A. Engelmayer of the … in violation of the Commodity Exchange Act (CEA) and a CFTC regulation, and 3) ProfitStars was not entitled to a …
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Opening Statement of Commissioner Brian D. Quintenz before the CFTC Energy and Environmental Markets Advisory Committee
… Statement of Commissioner Brian D. Quintenz before the CFTC Energy and Environmental Markets Advisory Committee … trading. I am looking forward to hearing from the CFTC’s own Chris Goodenow of DMO’s Market Intelligence … exposure calculations will result in higher capital charges to the bank, which, in turn, the bank will likely …
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CFTC Obtains Default Judgment against North Carolina Foreign Currency Firm Barki LLC in a $38 Million Ponzi Scheme
… October 11, 2011 CFTC Obtains Default Judgment against North Carolina Foreign … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the … N.C. The order, entered on September 30, 2011, stems from a CFTC enforcement action filed on March 17, 2009 that charged …
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CFTC Orders New York Resident Nathan Schleifer and Galileo Trading to Pay Restitution and Penalties Totaling More than $1.6 Million for Commodity Futures Fraud
… April 12, 2016 CFTC Orders New York Resident Nathan Schleifer and Galileo … DC – The U.S. Commodity Futures Trading Commission (CFTC) today settled charges against Nathan Schleifer of New York City, and his … CFTC Orders New York Resident Nathan Schleifer and Galileo …
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CFTC Orders Vision Financial Markets LLC to Pay a $140,000 Civil Monetary Penalty for Failing to Diligently Supervise its Employees
… September 24, 2013 CFTC Orders Vision Financial Markets LLC to Pay a $140,000 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Vision Financial Markets LLC (Vision), a … CFTC Orders Vision Financial Markets LLC to Pay a $140,000 …
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Federal Court in Maryland Orders Sidney J. Charles, Jr. and his Company, The Borrowing Station, LLC, to pay over $600,000 to Settle CFTC Forex Fraud Action
… The Borrowing Station, LLC, to pay over $600,000 to Settle CFTC Forex Fraud Action Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court … further violations of the Commodity Exchange Act (CEA) and CFTC Regulations, as charged. The court’s Order stems from a …
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CFTC Orders Merrill Lynch Commodities, Inc. to Pay $350,000 Civil Penalty for Violating Cotton Futures Speculative Position Limits
… December 7, 2011 CFTC Orders Merrill Lynch Commodities, Inc. to Pay $350,000 … DC -- The U.S. Commodity Futures Trading Commission (CFTC) today announced that Merrill Lynch Commodities, Inc. … to pay a $350,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in …
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CFTC Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Energy Trader; Defendant Paul Atha, a Former Trader at Mirant Americas Energy Marketing, L.P. (Mirant), Ordered to Pay a $200,000 Penalty
… DC - The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has entered into a consent … with defendant Paul Atha of Dunwoody, Georgia, settling charges that he falsely reported and attempted to manipulate … prohibits Atha from applying for registration with the CFTC, engaging in any activity requiring such registration, …
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