Displaying results 1571 - 1580 of 2823
CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in Total $7.2 Million in Restitution and a Civil Monetary Penalty for Solicitation Fraud and for Making False Statements to the National Futures Association
… July 14, 2016 CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Respondents Atlantas Group, Inc. (Atlantas) … CFTC Orders Atlantas Group, Inc. and Edmund Hysni to Pay in …
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Customers of MF Global Inc. to Begin Receiving Final Restitution Payments from MF Global to Satisfy More Than $1 Billion in Customer Losses as Ordered by Federal Court in CFTC Action
… Billion in Customer Losses as Ordered by Federal Court in CFTC Action Company also remains subject to a $100 million CFTC penalty Washington, DC – Pursuant to a federal court … obtained by the U.S. Commodity Futures Trading Commission (CFTC) against MF Global Inc. (MF Global), the Trustee for MF …
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CFTC Issues Final Order to Exempt Certain Non-Financial Energy Derivative Transactions between Government and/or Cooperatively-Owned Electric Utilities
… March 28, 2013 CFTC Issues Final Order to Exempt Certain Non-Financial … Washington, DC – The Commodity Futures Trading Commission (CFTC) approved by a seriatim vote of 5 - 0 a Final Order … CFTC Issues Final Order to Exempt Certain Non-Financial …
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U.S. District Court Orders George Heffernan, a/k/a George W. Marshall, to Pay $650,000 in Sanctions in Federal CFTC Action Involving Fraudulent Trading Commodity Advice and Services
… George W. Marshall, to Pay $650,000 in Sanctions in Federal CFTC Action Involving Fraudulent Commodity Trading Advice … DC —The U.S. Commodity Futures Trading Commission (CFTC) announced George Heffernan , a/k/a/ George W. … for commodity trading advisory services, among other charges. The court’s order requires Heffernan to pay a …
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2025-21888
… 17 CFR Parts 10 and 11 RIN 3038-AF44 Amendments to CFTC Rules of Practice and Rules Relating to  Investigations … SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or  ``Commission'') is amending its Rules of Practice … or confirmation of oral notice identifies the specific  charges that the Division has made preliminary …
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CFTC Orders Three Citibank Affiliates to Pay $4.5 Million for Supervision Failures That Led to Deletion of Subpoenaed Audio Recordings
… it has issued an order filing and simultaneously settling charges against Citibank N.A. and Citigroup Energy Inc. , … that audio recordings were maintained as required by CFTC regulations. However, due to a known design flaw, the … audio files, including recordings that were responsive to a CFTC subpoena and which Citibank had assured the Division of …
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CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 Million in Trading Profits and Pay a $1.75 Million Penalty for His Illegal Futures and Options Trading
… September 29, 2016 CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and settling charges against Jon P. Ruggles of Orlando, Florida, for … CFTC Orders Jon P. Ruggles to Disgorge More than $3.5 …
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Georgia-Based Hedge Fund Lake Dow and its Principal, Ty Edwards, Ordered to Pay More than $4 million in Restitution and Penalties in CFTC Commodity Pool Fraud Action
… to Pay More than $4 million in Restitution and Penalties in CFTC Commodity Pool Fraud Action Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) obtained more than $4 million in restitution and civil … LLC (Lake Dow) and Ty Edwards , both of McDonough, Ga., in CFTC v. Lake Dow, LLC, et al ., a CFTC enforcement action …
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Florida Federal Court Issues Preliminary Injunctions in CFTC Anti-Fraud Action against Florida Commodity Pool Operator Phoenix Diversified Investment Corporation, Inc., and its Principal Michael A. Meisner
… Florida Federal Court Issues Preliminary Injunctions in CFTC Anti-Fraud Action against Florida Commodity Pool … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the issuance of consent orders of … Release 5556-08, September 25, 2008). The CFTC complaint charges that Meisner and Phoenix fraudulently solicited …
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CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets
… January 29, 2018 CFTC Orders UBS to Pay $15 Million Penalty for Attempted … Washington, DC  — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against  UBS AG  (UBS), requiring UBS to pay a $15 … CFTC Orders UBS to Pay $15 Million Penalty for Attempted …
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