Displaying results 1611 - 1620 of 2823
CFTC Orders Florida Resident Anthony Lauria and His Company Gold Coast Bullion, Inc. to Pay More than $9.6 Million in Restitution and a Civil Monetary Penalty in Off-Exchange Precious Metals Fraud
… January 26, 2015 CFTC Orders Florida Resident Anthony Lauria and His Company … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and simultaneously settling charges against Anthony Lauria and his company, Gold Coast … CFTC Orders Florida Resident Anthony Lauria and His Company …
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New York Federal Court Orders Martin Armstrong, Princeton Global Management and Princeton Economics International to Pay More Than $27 Million in Remaining Restitution in CFTC Anti-Fraud Action
… to Pay More Than $27 Million in Remaining Restitution in CFTC Anti-Fraud Action Latest restitution award concludes … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained more than $27 million … injunctions in consent orders that settle its fraud charges against Martin Armstrong of Maple Shade, N.J., and …
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CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary Penalty for Swaps Reporting Violations and Related Supervision Failures
… September 30, 2015 CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil … Swaps Reporting Violations and Related Supervision Failures CFTC Finds that Deutsche Bank Did Not Diligently Address and … today issued an Order filing and simultaneously settling charges against Deutsche Bank AG , a global banking and …
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CFTC Customer Advisory Encourages Older Adults to Stay Alert and Share Information About Fraud
… 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 . The Customer Advisory is available in full below and on  cftc.gov .   ***** In recognition of World Elder Abuse …
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CFTC Orders Energy Broker and Its Owner to Pay Over $1.5 Million for Misappropriating Confidential Customer Information and Other Violations
… October 1, 2019   CFTC Orders Energy Broker and Its Owner to Pay Over $1.5 … announced today that it issued an order filing and settling charges against introducing broker Classic Energy LLC and … personal benefit, in violation of a preexisting duty,” said CFTC Enforcement Director James McDonald.  “This form of …
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CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 Penalty for Unlawfully Commingling Customer Funds with Funds in Non-Customer Accounts
… September 30, 2013 CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against ADM Investor Services, Inc. (ADMIS) , a … CFTC Orders ADM Investor Services, Inc. to Pay a $425,000 …
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CFTC Congratulates U.S. Attorney for Obtaining a Criminal Conviction Against Frank Anthony DeSantis III of Stuart, Florida, for Operating a Commodities Investment Scheme
… Release: 5615-09 For Release: February 19, 2009 CFTC Congratulates U.S. Attorney for Obtaining a Criminal … DC — The U.S. Commodity Futures Trading Commission (CFTC) commends the U.S. Attorney for the Southern District … an order of permanent injunction resolving all CFTC charges against DeSantis, in CFTC v. Doreen Valko, et al ., …
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CFTC Files Complaint in Federal Court against Eric Moncada, BES Capital LLC, and Serdika LLC Alleging Attempted Manipulation of Wheat Futures Contract Prices, Fictitious Sales, and Non-Competitive Transactions
… December 4, 2012 CFTC Files Complaint in Federal Court against Eric Moncada, … Prices, Fictitious Sales, and Non-Competitive Transactions CFTC seeks civil monetary penalties, trading and … police the market for this type of activity and will bring charges against those who attempt to illegally game prices …
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e9-4860
… 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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CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise
… January 26, 2017 CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), … CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE …
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