Displaying results 1651 - 1660 of 2823
CFTC Orders Chicago-based Cunningham Commodities, LLC and its Controller Salvatore Carmen Russo Jointly to Pay a $150,000 Penalty for Failing to Immediately Report a Customer Segregated Account Deficiency
… the Order, which is attached as a Related Link. May 9, 2016 CFTC Orders Chicago-based Cunningham Commodities, LLC and … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Cunningham Commodities, LLC (Cunningham), a …
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In CFTC Enforcement Action, Federal Court Orders Florida Resident Martin Sommers and His Company International Monetary Metals, Inc. to Pay over $9.8 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions and Registration Violations
… August 12, 2016 In CFTC Enforcement Action, Federal Court Orders Florida … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge William J. Zloch of the … Court for the Southern District of Florida granted the CFTC’s motion for entry of final default judgment against …
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CFTC Orders Forex Capital Markets, LLC to Pay More Than $843,000 for Supervision and Record-Production Violations and for Violating a Previous Commission Order
… September 8, 2015 CFTC Orders Forex Capital Markets, LLC to Pay More Than … DC — The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Forex Capital Markets, LLC (FXCM), a … CFTC Orders Forex Capital Markets, LLC to Pay More Than …
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Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023 — Investor Bulletin
… (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the … involving crypto assets on  Investor.gov  or  CFTC.gov . Sustainable Finance Sustainable investing, … read  Environmental, Social and Governance (ESG) Funds . CFTC Seeks Carbon Market Fraud Tips and Forms Task Force One …
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CFTC Orders Raja Michael Mawad and His Texas-Based Company, RNS Holdings LP, to Pay a Civil Monetary and Restitution Totaling More than $389,000 for Fraud and Failure to File Required Annual Reports
… September 20, 2016 CFTC Orders Raja Michael Mawad and His Texas-Based Company, … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Respondents Raja Michael Mawad , who resided … CFTC Orders Raja Michael Mawad and His Texas-Based Company, …
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Customer Advisory: Be Alert and Share Information to Help Seniors Avoid Fraud
… attorney general, the Internet Crime Complaint Center , CFTC , or the appropriate agency. The information you … government or law enforcement agencies, including the  CFTC ,  SEC ,  Department of Justice ,  Federal Trade … based on this information. This advisory references non-CFTC websites and organizations. The CFTC cannot attest to …
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CFTC Orders Dearborn Trading, Inc. and Joel Bronstein of Chicago, Illinois to pay $180,000 Civil Penalty for Failing to File Pool’s Closing Annual Report
… August 25, 2011 CFTC Orders Dearborn Trading, Inc. and Joel Bronstein of … DC — The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Dearborn Trading, Inc. (Dearborn) , a … CFTC Orders Dearborn Trading, Inc. and Joel Bronstein of …
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CFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil Penalty for Acting as an Unregistered Commodity Trading Advisor and for Disclosure Violations
… September 29, 2016 CFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring … public as a CTA without being registered as such with the CFTC. The order also finds that Angus failed to adequately …
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CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay $140,000 Penalty for Violating Soybean and Corn Futures Speculative Position Limits
… February 22, 2012 CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay … DC —The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against commodity pool operator D.E. Shaw & Co. L.P. … CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay …
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CFTC Orders Florida Resident Alan M. Kneller and His Company American Portfolio Asset Management, Inc. to Pay Restitution and a Civil Monetary Penalty Totaling More than $578,000 in Precious Metals Enforcement Action
… September 29, 2015 CFTC Orders Florida Resident Alan M. Kneller and His Company … Order Also Permanently Bars Respondents from Trading on CFTC-Regulated Markets Washington, DC — The U.S. Commodity … today filed an Order instituting proceedings and settling charges against Respondents American Portfolio Asset …
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