Displaying results 1631 - 1640 of 2823
Federal Court in Florida Orders Neil Pecker and His Company, Vision Financial Partners, LLC, to Pay More than $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC Binary Options Fraud Action
… $6.5 Million in Restitution and a Civil Monetary Penalty in CFTC Binary Options Fraud Action Relief Defendants … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James I. Cohn of the U.S. … 2016 (see CFTC Complaint and Press Release 7334-16 , CFTC Charges Florida Resident Neil Pecker and His Company, Vision …
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U.S. District Court for the Northern District of California Imposes Permanent Trading Ban against Defendant in CFTC False Statements and Solicitation Fraud Action
… Imposes Permanent Trading Ban against Defendant in CFTC False Statements and Solicitation Fraud Action U.S. … Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the … Crombie (Crombie) permanently banning him from trading on CFTC-regulated markets for his own personal account and from …
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay $350,000 Penalty for Violating Wheat and Cotton Futures Speculative Position Limits
… September 27, 2012 CFTC Orders Australia and New Zealand Banking Group Ltd. to … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Australia and New Zealand Banking Group Ltd. … CFTC Orders Australia and New Zealand Banking Group Ltd. to …
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Federal Court Imposes $15.7 Million Civil Penalty and Lifetime Trading Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud Action
… Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud Action In 2015, the CFTC Charged California Resident Hannes Tulving, Jr. and His … Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that Judge Robert J. Conrad Jr. of the …
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CFTC Files Anti-Fraud Action against California Companies 20/20 Trading Company, Inc. and 20/20 Precious Metals, Inc. and their Employees, Bharat Adatia, Sharief McDowell and Todd Krejci
… April 28, 2011 CFTC Files Anti-Fraud Action against California Companies … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of an anti-fraud … preliminary injunction for June 6, 2011. The CFTC complaint charges 20/20 Trading, Adatia and McDowell with commodity …
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Statement of Commissioner Kristin N. Johnson: A Call For The CFTC To Begin A Formal Rulemaking to Address Vertical Integration
… the Commodity Futures Trading Commission’s (Commission or CFTC) regulations (Part 39). Long before the Commission … for Comment on the Impact of Affiliations of Certain CFTC-Regulated Entities (RFC on Affiliated Entities), … on potential issues that may arise where affiliated CFTC-registered entities that share a common parent company …
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CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures
… January 19, 2017 CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million … DC – The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Citigroup Global Markets Inc. (Citigroup) … CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million …
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Statement of Commissioner Christy Goldsmith Romero: A Commissioner’s Evaluation of Cases & Cooperation Credit
… interest.  To increase those incentives, I propose that the CFTC as an agency increase transparency in public documents … credit—an explanation that supplements the February 2025 CFTC Division of Enforcement Advisory on Self-Reporting, … as incentives.  The government may decline to file charges.  Where charges are filed, the government may …
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CFTC Orders ABN AMRO Clearing Chicago LLC to Pay a $160,000 Civil Monetary Penalty for Supervisory and Recordkeeping Failures
… September 14, 2018 CFTC Orders ABN AMRO Clearing Chicago LLC to Pay a $160,000 … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against ABN AMRO Clearing Chicago LLC (ABN), a … CFTC Orders ABN AMRO Clearing Chicago LLC to Pay a $160,000 …
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CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations
… July 29, 2019   CFTC Orders Principal of Binary Options Trading Firm to Pay … Commission today issued an order filing and settling charges against Curtis Dalton of Middleton, Massachusetts, … overseas customers while failing to be registered by the CFTC as required.   The transactions offered by Dalton …
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