Displaying results 1621 - 1630 of 2823
CFTC Obtains Federal Court Order against Nicholas Cosmo for Engaging in Unauthorized Futures Trading that Resulted in Tens of Millions of Dollars in Investor Losses
… October 25, 2012 CFTC Obtains Federal Court Order against Nicholas Cosmo for … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Leonard D. Wexler of the … of dollars in a commodity futures trading scheme (see CFTC Press Release 5606-09 , January 27, 2009). The court’s …
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Industry Filings
… PBOT Fee Schedule amendments waiving certain transaction charges, floor brokerage assessments, and charges with respect to exchanges of futures for physical … 11/07/2003 NYMEX This filing is simply notifying the CFTC of the launch dated for new option contracts and …
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CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees
… June 29, 2017 CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Rosenthal Collins Capital Markets, LLC , now … CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known …
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CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in Restitution and a Civil Monetary Penalty for Fraudulent Omissions in Connection with His Operation of ETF Trend Trading
… September 29, 2016 CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 … Trading Rusfeldt Failed to Disclose that He was Sued by the CFTC for Fraud in 2007 and Permanently Enjoined from … today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a “Big A”) of …
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CFTC to Publish Federal Register Notice Seeking Public Input on Areas of Rulemaking to Implement the Dodd-Frank Wall Street Reform and Consumer Protection Act
… August 25, 2010 CFTC to Publish Federal Register Notice Seeking Public Input … Washington, DC - The Commodity Futures Trading Commission (CFTC) today announced that it will publish in the Federal Register a notice seeking public input on the CFTC’s proposed rulemaking areas to implement the Dodd-Frank …
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CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates
… December 21, 2016 CFTC Orders Goldman Sachs to Pay $120 Million Penalty for … Dollar ISDAFIX Benchmark Swap Rates Today’s Action Is the CFTC’s Third Enforcement Action for the Attempted … Commission (CFTC) issued an Order today filing and settling charges against The Goldman Sachs Group, Inc. , and Goldman, …
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CFTC Obtains Default Judgment and Permanent Injunction against Arizona Resident Cory Williams and His Company, Williams Advisory Group, LLC, for Commodity Pool Fraud
… April 12, 2018 CFTC Obtains Default Judgment and Permanent Injunction … Washington, DC –The Commodity Futures Trading Commission (CFTC) announced that Judge John J. Tuchi of the U.S. … from violating provisions of the Commodity Exchange Act and CFTC Regulations, as charged. The Order, entered on March …
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Opening Statement of Chairman Rostin Behnam at the CFTC Voluntary Carbon Markets Convening, Washington, DC
… I want to extend my gratitude to David Gillers, the CFTC’s Chief of Staff and CRU Director, Abigail Knauff, a … asset allocation.  The derivatives markets overseen by the CFTC are used for hedging a range of risks in the … Commission and industry efforts as former sponsor of the CFTC’s Market Risk Advisory Committee  (the MRAC) whose …
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U.S. District Court for the Middle District of Florida Permanently Prohibits Defendant in CFTC Anti-Fraud Action from Commodity Futures and Options Trading
… District of Florida Permanently Prohibits Defendant in CFTC Anti-Fraud Action from Commodity Futures and Options … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that U.S. Magistrate Judge Mary S. … The order, entered on remand on October 19, 2006, resolves charges against Leiza Fitzgerald arising from the CFTC’s …
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Keynote Address by Commissioner Summer K. Mersinger: Confronting Change – CFTC Perspectives on Trading and Power Markets
… regulators, like the Commodity Futures Trading Commission (“CFTC”), when confronting change. Teddy Roosevelt seemed very … versus always planning for the past.   The Role of the CFTC   This brings me to my work as sponsor of the CFTC’s Energy and Environmental Markets Advisory Committee …
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