Displaying results 1671 - 1680 of 2823
CFTC Obtains Default Judgment against Christopher Smithers of Florida for Fraud in Connection with Futures Contracts, Fraud in Connection with Contracts of Sale of a Commodity in Interstate Commerce, and Violations of a U.S. District Court’s Prior Orders
… August 2, 2013 CFTC Obtains Default Judgment against Christopher Smithers … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Kenneth A. Marra of the … from violating the Commodity Exchange Act (CEA) and CFTC regulations, as charged. The court’s Order, entered on …
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CFTC Orders Panther Energy Trading LLC and its Principal Michael J. Coscia to Pay $2.8 Million and Bans Them from Trading for One Year, for Spoofing in Numerous Commodity Futures Contracts
… July 22, 2013 CFTC Orders Panther Energy Trading LLC and its Principal … DC – The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and simultaneously settling charges against Panther Energy Trading LLC of Red Bank, New … CFTC Orders Panther Energy Trading LLC and its Principal …
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CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing In the Precious Metals Futures Markets
… January 29 2018 CFTC Orders Deutsche Bank to Pay $30 Million Penalty for … Washington, DC  – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against  Deutsche Bank AG  (DB AG) and  Deutsche … CFTC Orders Deutsche Bank to Pay $30 Million Penalty for …
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FOIA
… of requesters: Commercial Use Requester The Commission charges fees for search time, review time, and duplication … or Noncommercial Scientific Institution The Commission charges only duplication fees to schools or to organizations … or review time. Representative of News Media The Commission charges only duplication fees to any person actively …
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CFTC Orders Florida Residents Ted L. Romeo, Richard D. Schrutt, and Their Company Cypress Wealth Management Group, Inc. to Pay Restitution and Civil Monetary Penalties Totaling More than $530,000 in Precious Metals Enforcement Action
… May 26, 2016 CFTC Orders Florida Residents Ted L. Romeo, Richard D. … 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 Cypress Wealth Management, Inc. …
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CFTC Sanctions York Business Associates LLC d/b/a TransAct Futures, a Registered Futures Commission Merchant, $199,000 for Supervision Failures in Handling a Customer Account
… September 21, 2012 CFTC Sanctions York Business Associates LLC d/b/a TransAct … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against York Business Associates LLC , doing … CFTC Sanctions York Business Associates LLC d/b/a TransAct …
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CFTC Orders Futures Trader and Trading Firm to Pay $2.3 Million in Penalties for Cross-Market and Single-Market Spoofing and Manipulative Scheme
… September 19, 2018 CFTC Orders Futures Trader and Trading Firm to Pay $2.3 … Washington, DC —The Commodity Futures Trading Commission (CFTC) issued two orders today filing and settling charges against Victory Asset, Inc. (Victory) and Michael D. … CFTC Orders Futures Trader and Trading Firm to Pay $2.3 …
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Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc.
… April 26, 2012 Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California … civil monetary penalty Son pleaded guilty to federal charges in related criminal action and was sentenced to 180 … DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court supplemental consent order …
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CFTC Orders The Linn Group, Inc., a Registered Futures Commission Merchant, to Pay $400,000 Civil Monetary Penalty for Customer Account Deficiencies and Supervision Failures
… April 18, 2013 CFTC Orders The Linn Group, Inc., a Registered Futures … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring The … as required by the Commodity Exchange Act (CEA) and CFTC Regulations, and for supervision failures. The CFTC …
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CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for Supervisory Failures Resulting in Illegal Trades and Other Violations
… October 1, 2019   CFTC Orders RBC Capital Markets, LLC to Pay $5 Million for … an order on Monday, September 30, 2019, filing and setting charges against RBC Capital Markets , LLC (RBCCM), a … the factual and legal subject matters of this action.  “The CFTC will vigorously enforce the rules requiring our …
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