Displaying results 1681 - 1690 of 2823
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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Federal Court Orders Canadian Trio to Pay More than Equivalent $2.2 Million in Restitution, Disgorgement and Penalties in CFTC Commodity Pool Anti-Fraud Action
… $2.2 Million in Restitution, Disgorgement and Penalties in CFTC Commodity Pool Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court entered default … defendant Paul States , of British Columbia, Canada, in a CFTC action charging the defendants with fraudulent …
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CFTC Orders AMP Global Clearing LLC to Pay $100,000 for Supervision Failures Related to Cybersecurity of its Customers’ Records and Information
… February 12, 2018 CFTC Orders AMP Global Clearing LLC to Pay $100,000 for … Washington, DC  – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against  AMP Global Clearing LLC  (AMP), a … CFTC Orders AMP Global Clearing LLC to Pay $100,000 for …
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CFTC Files Anti-Fraud Action against Idahoan Michael Justin Hoopes for Operating a Multi-Million Dollar Ponzi Scheme that Defrauded Mostly Idaho Residents
… October 26, 2011 CFTC Files Anti-Fraud Action against Idahoan Michael Justin … DC – The U.S. Commodity Futures Trading Commission (CFTC) filed a civil complaint charging Michael Justin Hoopes … judge set a hearing for November 7, 2011. Specifically, the CFTC complaint alleges that, from at least September 2007 to …
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CFTC Obtains Order Against California-based James J. Zhou and His Firm, Jade Trader, Requiring Payment of Restitution to Defrauded Customers and Civil Monetary Penalties
… Release: 5510-08 For Release: June 16, 2008 CFTC Obtains Order against California-based James J. Zhou … DC - The U.S. Commodity Futures Trading Commission (CFTC) announced that James J. Zhou and his company, Jade … of California entered a consent order settling the CFTC’s charges against the defendants, which stemmed from a CFTC …
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CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital Management Ltd. $6 Million for Willfully Failing to Disclose Material Facts to the New York Mercantile Exchange
… September 14, 2010 CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital … DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Vitol Inc. (VIC) and Vitol Capital … CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital …
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CFTC Orders China-based Weidong Ge and Sheenson Investments, Ltd. to Pay $1.5 Million in Monetary Sanctions for Violating Speculative Position Limits in Cotton And Soybean Futures
… September 25, 2012 CFTC Orders China-based Weidong Ge and Sheenson Investments, … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Weidong Ge (Ge) and Sheenson … and a $500,000 civil monetary penalty to settle CFTC charges that they exceeded speculative position limits in …
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Federal Court Orders Brian Hunter of Calgary, Alberta to Pay a $750,000 Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas Futures Prices during the Expiry on Two Trading Days
… Hunter of Calgary, Alberta to Pay a $750,000 Civil Fine in CFTC Action Alleging Attempted Manipulation of Natural Gas … permanently bans Hunter from trading in the expiry in all CFTC-regulated products and from trading natural gas … announced that it has entered into a consent Order settling charges brought against Brian Hunter , resident of Calgary, …
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CFTC Orders California Resident Irina Feldman and her Companies Cindium Inc. and Einstein Exchange Group Inc. to Pay More than $600,000 for Solicitation Fraud and Misappropriation in Commodity Pool Scheme
… August 22, 2016 CFTC Orders California Resident Irina Feldman and her … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Respondents Irina Feldman , Cindium Inc. … CFTC Orders California Resident Irina Feldman and her …
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CFTC Obtains Default Judgment and Permanent Injunction against Florida Resident David L. Ortiz and His Companies for Defrauding Customers in Off-Exchange Foreign Currency Scam
… July 12, 2011 CFTC Obtains Default Judgment and Permanent Injunction … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge K. Michael Moore of the … Returns, Inc. of Hollywood, Fla. The order stems from a CFTC enforcement action filed on February 23, 2011 that …
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