Displaying results 1721 - 1730 of 2823
CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization
… September 12, 2019 CFTC Orders Chief Compliance Officer of Trading Firm to Pay … Commission today issued an order filing and settling charges against CFTC registrant Rafael Marconato of Limeira, São Paulo, … CFTC Orders Chief Compliance Officer of Trading Firm to Pay …
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CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures
… August 6, 2015 CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order requiring Morgan Stanley & Co. … requires Morgan Stanley to cease and desist from violating CFTC Regulations, as charged. Aitan Goelman, the CFTC’s …
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CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps
… July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More … Washington, DC  — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against  Swapnil Rege , a former portfolio manager … CFTC Orders Former Hedge Fund Portfolio Manager to Pay More …
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Statement from Commissioner J. Christopher Giancarlo: Reconsidering the CFTC’s Swaps Trading Rules for Greater Effectiveness in the Global Economy
… Commissioner J. Christopher Giancarlo: Reconsidering the CFTC’s Swaps Trading Rules for Greater Effectiveness in the … the views of the Commodity Futures Trading Commission (CFTC or Commission), the Commission staff or my fellow … I also wish to make clear that my criticism of the CFTC’s swaps trading regulatory framework is not directed in …
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CFTC Orders Florida Residents Isaiah Goldman and Brock Catronio and their Companies, Paramount Metals Exchange and Paramount Credit, to Pay More than $2.5 Million in Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… February 5, 2015 CFTC Orders Florida Residents Isaiah Goldman and Brock … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Isaiah Goldman and Brock Catronio , … CFTC Orders Florida Residents Isaiah Goldman and Brock …
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Hedge Fund Trader Paul Eustace and Philadelphia Alternative Asset Management Co. Ordered to Pay More Than $279 Million to Defrauded Customers and More than $20 Million in Civil Monetary Penalties in CFTC Action
… and More than $20 Million in Civil Monetary Penalties in CFTC Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Paul Eustace of Ontario, Canada, … filing and settling failure to supervise and recordkeeping charges against MF Global, Inc. (MFG), a registered futures …
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Florida Federal Court Orders Nine Defendants in CFTC Foreign Currency (Forex) Anti-Fraud Action to Pay More than $12 Million in Penalties and Customer Restitution
… 9, 2008 Florida Federal Court Orders Nine Defendants in CFTC Foreign Currency (Forex) Anti-Fraud Action to Pay More … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained more than $12 million … penalties against nine Florida defendants to settle a CFTC anti-fraud lawsuit in connection with the offer and …
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2012-18382
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to establish a clearing … methods: The agency's Web site, at http://comments.cftc.gov. Follow the instructions for submitting comments … the effect on competition, including appropriate fees and charges applied to clearing; and (5) the existence of …
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Federal Court Orders Chicago Commodity Pool Operators, Owner, Former Chief Portfolio Manager to Pay More Than $6M in Fraud Action
… from further violations of the Commodity Exchange Act and CFTC regulations, as charged.     Case Background The consent order stems from a CFTC complaint filed against defendants LJM, Caine, and … resolving the Securities and Exchange Commission’s related charges against the same defendants.   The CFTC acknowledges …
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Industry Filings
… Licensed Warehouses for Copper to establish overtime charges for the shipping of copper during other than normal … – 20403.C, 20503.C, and 20603.C Clarification of switching charges 08/05/2004 08/05/2004 CME Rule Numbers – Chapter 5 – … to 125,000 based on recent No-Action relief granted by the CFTC.   08/02/2004 08/02/2004 CME Rule Number 102A01.E. …
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