Displaying results 1761 - 1770 of 2823
CFTC Obtains Permanent Injunction Orders and Monetary Sanctions against Susan G. Davis, David E. Howard II, and Joseph Burgos for Fraudulent Solicitation of Managed Foreign Currency Trading Accounts
… February 28, 2014 CFTC Obtains Permanent Injunction Orders and Monetary … DC - The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Katherine B. Forrest of the U.S. … prohibit them from violating the Commodity Exchange Act and CFTC regulations, as charged. The court’s Orders, entered on …
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Federal Court Orders More than $3.8 Million in Sanctions against North Carolina Defendant Tyrone McCall and Two Entities He Controlled to Settle a CFTC Anti-Fraud Action
… Tyrone McCall and Two Entities He Controlled to Settle a CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained more than $3.8 … LLC , both of Charlotte, N.C. The sanctions resolve a CFTC enforcement action that charged them with solicitation …
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CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for FXCM’s Defrauding of Retail Forex Customers
… February 6, 2017 CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent … Niv, and Ahdout are Prohibited from Registering with the CFTC, Acting in Exempt Capacities or Acting as Principals, … Commission (CFTC) today issued an Order filing and settling charges against Forex Capital Markets, LLC (FXCM) , its …
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New York Federal Court Orders Hedge Fund Linuxor Asset Management LLC, and its Principal Abbas A. Shah to Pay a $200,000 Civil Penalty in CFTC Anti-Fraud Action
… Principal Abbas A. Shah to Pay a $200,000 Civil Penalty in CFTC Anti-Fraud Action Defendants Permanently Banned from … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $200,000 civil … District of New York, stems from a complaint filed by the CFTC on September 19, 2005 charging Shah and LAM with …
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CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty and Restitution and Bans Him from Trading and Registration for Engaging in Gas and Crude Oil Futures Transactions that Defrauded His Employer
… December 2, 2015 CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Arya Motazedi of Miami, Florida, for … CFTC Orders Arya Motazedi to Pay a Civil Monetary Penalty …
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Remarks of CFTC Chairman Heath P. Tarbert to the 35th Annual FIA Expo 2019
… Remarks of CFTC Chairman Heath P. Tarbert to the 35th Annual FIA Expo … to stand here before you as the fourteenth Chairman of the CFTC, with that charge to keep. I finished my first 100 days … That is very important for setting the right tone as the CFTC goes into close to fifty years of being a leader in …
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Jacksonville Resident Stephanie Ann Gallitano and Her Fort Lauderdale-Based Companies Ordered to Pay More than $5 Million in Restitution and Civil Monetary Penalties in CFTC Forex Anti-Fraud Action
… $5 Million in Restitution and Civil Monetary Penalties in CFTC Forex Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that Stephanie Ann Gallitano of … and a civil monetary penalty of $1,943,000 to settle CFTC charges of fraudulently soliciting customers to purchase …
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The CFTC Needs to Get Serious: A Strategic Plan for Reform, Statement of Commissioner Caroline D. Pham Before the Open Meeting on May 10, 2024
… Today, the Commodity Futures Trading Commission (CFTC) will take yet another step down a misguided path that … it’s our duty to ensure adequate governance of the CFTC.  We must support our talented staff with the tools, … and excellence to maintain the public’s trust in the CFTC’s ability to oversee our markets with fairness and in …
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CFTC Order Finds that McVean Trading & Investments, LLC; Charles Dow McVean, Sr.; Michael J. Wharton & Samuel C. Gilmore Used a Manipulative or Deceptive Device & Exceeded Position Limits in the Live Cattle Futures Market & Imposes Penalties of $5 Mln
… June 21, 2017 CFTC Issues Order Finding that McVean Trading & Investments, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and simultaneously settling charges against Respondents McVean Trading & Investments, … CFTC Order Finds that McVean Trading & Investments, LLC; …
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CFTC Forex Boiler Room Fraud Action Nets $3.4 Million in Sanctions Against “Richmond Global” and Vincent Danio; Defrauded Customers Lost More Than $1.7 Million Trading Forex
… Release: 5429-07 For Release: December 28, 2007 CFTC Forex Boiler Room Fraud Action Nets $3.4 Million in … DC – The U.S. Commodity Futures Trading Commission (CFTC) was awarded a default judgment order against Richmond … of high returns, failed to disclose hidden commission charges, issued account statements that falsely …
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