Displaying results 1581 - 1590 of 2823
CFTC Obtains Default Judgment Orders against Three Magee Family Members of Calgary, Alberta, Canada, for Commodity Pool Fraud
… June 20, 2016 CFTC Obtains Default Judgment Orders against Three Magee … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Lynn Adelman of the U.S. … bans the Magees from trading or registering with the CFTC and prohibits them from violating provisions of the …
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CFTC Orders Société Générale International Limited to Pay $2.5 Million for Swap Data Reporting and Supervision Failures
… October 1, 2019 CFTC Orders Société Générale International Limited to Pay … Washington, DC —  On Monday, September 30, 2019, the CFTC filed and settled charges against Société Générale International Limited , a … CFTC Orders Société Générale International Limited to Pay …
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Futures Commission Merchants (FCMs)
… may apply and the impact of foreign exchange rates. The CFTC has permitted the use of a "generic" risk disclosure … show, e.g., all transactions occurring in the month, all charges and credits to the account, and the account balance. … records are kept, they must be open to inspection by the CFTC, the National Futures Association, and the Department …
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Miami, Florida Area Residents Melvin Webman and Larry Webman Ordered by Federal Court to Pay Over $2.9 Million in Foreign Currency Fraud Action Brought by the CFTC
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on July 10, 2006, the United … Webman , (the Webmans), both of Miami, Florida, settling CFTC charges that the defendants fraudulently solicited customers … Million in Foreign Currency Fraud Action Brought by the CFTC …
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CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty
… April 9, 2013 CFTC Orders Connecticut-based Interactive Brokers LLC, a … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order requiring Interactive Brokers … USD-denominated obligations, and supervision failures. The CFTC’s Order also requires IB to cease and desist from …
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CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan Chase Bank, N.A. to Pay a $225,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swaps Positions
… March 23, 2016 CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan … Washington - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against JPMorgan Ventures Energy Corp. (JPMVE) and … CFTC Orders JPMorgan Ventures Energy Corp. and JPMorgan …
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e8-30905
… Bretscher, Division of Clearing and Intermediary Oversight, CFTC, (312) 596-0529; FAX: (312) 596-0714; e-mail: Mbretscher@cftc.gov and refer to OMB Control No. 3038-0024. … valid OMB control number. The OMB control numbers for the CFTC's regulations were published on December 30, 1981. See …
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Testimony by CFTC Chairman Reuben Jeffery: U.S. Senate Committee on Banking, Housing, and Urban, Affairs
… pleased to have an opportunity to testify on behalf of the CFTC on the regulation of hedge funds. I will focus my remarks today on how hedge funds intersect with the CFTC’s statutory responsibilities under its governing … conduct alleged by the CFTC, pleaded guilty to criminal charges brought by the U.S. Attorney’s Office for the …
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CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay $171,800 Civil Monetary Penalty and Imposes Permanent Trading and Registration Bans for Engaging in Deceptive Trade Allocation Scheme
… September 17, 2015 CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Robert M. McMahon of Mt. Pocono, … CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay …
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Federal Court Permanently Bans North Carolina Resident Neal Hall from Trading and Registration and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions
… and Imposes a $210,000 Penalty for Violating the CFTC’s Registration and Consumer Notice Provisions … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable James A. Beaty, Jr. … (CTA) in exchange for payment in the form of either flat charges or a percentage of profits from customers.  The …
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