Displaying results 1731 - 1740 of 2823
Federal Court Orders Purported Metals Dealer and His Companies to Pay More Than $8 million for Fraud and Misappropriation of Customer Funds in CFTC Action
… million for Fraud and Misappropriation of Customer Funds in CFTC Action  Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that a Florida federal court ordered … and regulations, as charged. The Court’s Order stems from a CFTC Complaint filed on February 13, 2017 in the U.S. …
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CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws
… June 5, 2013 CFTC Files Complaint against U.S. Bank, N.A. Alleging … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a Complaint in the U.S. District Court for … were located. The Commodity Exchange Act (CEA) and CFTC regulations prohibit depository institutions, like U.S. …
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CFTC Orders Former Citigroup Global Markets Inc. Traders Stephen Gola and Jonathan Brims to Pay $350,000 and $200,000, Respectively, and Bans Them from Trading for 6 Months for Spoofing in U.S. Treasury Futures Markets
… March 30, 2017 CFTC Orders Former Citigroup Global Markets Inc. Traders … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued two separate Orders filing and settling charges against Stephen Gola and Jonathan Brims for spoofing … CFTC Orders Former Citigroup Global Markets Inc. Traders …
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Nevada Firm Alliance Development Co. and William Snyder Ordered to Pay $3.65 Million in Restitution and Penalties for Operating a Commodity Pool Scam in CFTC Anti-Fraud Action
… and Penalties for Operating a Commodity Pool Scam in CFTC Anti-Fraud Action Synder’s Daughter, Christi Wilson, … DC —The U.S. Commodity Futures Trading Commission (CFTC) today announced today that Alliance Development … $1.65 million and $1.45 million, respectively, to settle a CFTC enforcement action charging them with commodity pool …
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CFTC Orders Florida-Based Midwest Metals Exchange and Its Owner, Brian S. Ekasala, to Pay Restitution and a Civil Monetary Penalty Totaling More than $522,000 for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… February 4, 2015 CFTC Orders Florida-Based Midwest Metals Exchange and Its … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Brian S. Ekasala , a resident of Lake Worth, … CFTC Orders Florida-Based Midwest Metals Exchange and Its …
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CFTC Orders Chicago-Based Futures Commission Merchant Newedge USA, LLC to Pay More than $220,000 for Violating Speculative Position Limits in Live Cattle Futures Trading
… February 7, 2011 CFTC Orders Chicago-Based Futures Commission Merchant … DC -- The U.S. Commodity Futures Trading Commission (CFTC) today announced that Newedge USA, LLC (Newedge), a … civil monetary penalty and disgorge $80,910 to settle CFTC charges of exceeding speculative position limits in the …
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CFTC Orders BNP Paribas to Pay $90 Million Penalty for Attempted Manipulation and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates
… August 29, 2018 CFTC Orders BNP Paribas to Pay $90 Million Penalty for … Washington, DC – The Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against BNP Paribas Securities Corp. (BNP Paribas or … CFTC Orders BNP Paribas to Pay $90 Million Penalty for …
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CFTC Orders Glencore Agriculture B.V. and Glencore Ltd. to Pay a $2 Million Penalty for Exceeding Cotton Futures Position Limits, Transacting Illegal EFPs, and Submitting Inaccurate Form 304s
… April 30, 2018 CFTC Orders Glencore Agriculture B.V. and Glencore Ltd. to … Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against Glencore Agriculture B.V., f/k/a Glencore … CFTC Orders Glencore Agriculture B.V. and Glencore Ltd. to …
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Address of CFTC Acting Chairman J. Christopher Giancarlo before the New York Fintech Innovation Lab
… Address of CFTC Acting Chairman J. Christopher Giancarlo before the New York Fintech Innovation Lab “LabCFTC: Engaging Innovators in Digital Financial Markets” May … Tom Farley and the New York Stock Exchange for giving the CFTC the honor of ringing this afternoon’s closing bell. I …
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CFTC Obtains Default Judgment against Altamont Global Partners LLC and John G. Wilkins for Commodity Pool Fraud, Misappropriation, and Making False Statements to National Futures Association
… February 28, 2014 CFTC Obtains Default Judgment against Altamont Global … Florida Orders Defendants to Pay More than $15.8 Million in CFTC Anti-Fraud Action Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Gregory A. Presnell of the …
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