Displaying results 1691 - 1700 of 2823
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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Commissioner Kristin N. Johnson Statement on the CFTC RFC on AI: Building a Regulatory Framework for AI in Financial Markets
… of the Commodity Futures Trading Commission (Commission or CFTC) published a request for comment (RFC), seeking public … and possibly rulemakings regarding the integration of AI in CFTC-regulated markets. In light of the significant and … Commissioner Kristin N. Johnson, Statement Regarding CFTC Charges in “Pig Butchering” Case (Jan. 19, 2024), at …
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CFTC Obtains Verdict Against Former Coral Energy Trader Anthony Dizona for Attempted Manipulation; Jury Finds Defendant Violated the Commodity Exchange Act by Attempting to Manipulate the Natural Gas Market Eight Times
… Release: 5435-08 For Release: January 15, 2008 CFTC Obtains Verdict Against Former Coral Energy Trader … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that today a jury in federal court in … who were charged in the same complaint settled the charges on November 9, 2007 (see CFTC Press Release 5411-07, …
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Federal Court Orders Jeffrey Slemmer, Christian Dorrian, Adam Roth, and Their Florida-Based Companies to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action
… to Pay over $5.4 Million in Restitution and a Penalty in CFTC Precious Metals and Diamonds Anti-Fraud Action Slemmer … Washington, DC – The Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the … further violations of the Commodity Exchange Act and CFTC Regulations, as charged. The Court’s Order arises from …
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CFTC Orders Fine and Revokes Registration of Former COMEX Floor Broker Dominick Anthony Cognata Based on His Failure to Produce Required Records and His Pattern of Conduct Demonstrating an Inability to Comply with the Commodity Laws
… November 26, 2014 CFTC Orders Fine and Revokes Registration of Former COMEX … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that it has ordered Dominick Anthony … civil monetary penalty for failing to comply with a CFTC subpoena and to cease and desist from further …
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CFTC Orders New York Resident Jacob N. Stein to Pay More than $344,000 in Restitution and Civil Monetary Penalty for Commodity Pool Fraud and Misappropriation
… August 11, 2014 CFTC Orders New York Resident Jacob N. Stein to Pay More … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring … Stein nor TEPdesign, Inc. has ever been registered with the CFTC. According to the CFTC’s Order, from about January 2010 …
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CFTC Sanctions New York Resident Howard Winell and His Companies, Winell Associates, Inc., and Maxie Partners GP, LLC, More than $5.2 Million for Fraud
… May 2, 2011 CFTC Sanctions New York Resident Howard Winell and His … Maxie Partners GP, LLC, More than $5.2 Million for Fraud CFTC order permanently bans respondents from CFTC … Commission (CFTC) today filed and simultaneously settled charges against Howard Winell , Winell Associates, Inc. and …
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CFTC Orders Conn. Resident Timothy Michael Murphy and His Company, Centurion Global Capital Management LLC, to Pay $360,000 for Commodity Pool Solicitation Fraud
… January 23, 2012 CFTC Orders Conn. Resident Timothy Michael Murphy and His … Washington, DC - The Commodity Futures Trading Commission (CFTC) today announced that it filed and simultaneously settled charges against Timothy Michael Murphy of Redding, Conn., … CFTC Orders Conn. Resident Timothy Michael Murphy and His …
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2013-27849
… and Risk (``DCR''), at 202-418-5188 or aradhakrishnan@cftc.gov; Robert B. Wasserman, Chief Counsel, DCR, at 202-418-5092 or rwasserman@cftc.gov; M. Laura Astrada, Associate Chief Counsel, DCR, at … which sets forth interim rules governing the capital charges arising from bank exposures to CCPs related to OTC …
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CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and Daniels Trading Group LLC to Pay $2 Million and Imposes Trading Prohibition for Violating Rough Rice Speculative Position Limits and Concealing Material Facts from the CME Group
… January 26, 2011 CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and … Limits and Concealing Material Facts from the CME Group CFTC also sanctions Chicago-based Introducing Broker Global … today announced the filing and simultaneous settlement of charges against Andrew W. Daniels of Hinsdale, Ill., Edward …
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