Displaying results 1771 - 1780 of 2823
2013-12242
… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new rules, guidance, and acceptable … CONTACT: Amir Zaidi, Special Counsel, 202-418- 6770, azaidi@cftc.gov, Alexis Hall-Bugg, Special Counsel, 202-418-6711, … the cancellation of trades, issuance of disciplinary charges, denials of access to the trading platform for …
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Industry Filings
… for FCM and clearing member firms with requirements of the CFTC and the Exchange’s Clearing Services Provider … of the USDA. Amendments to Rule 7.64 remove handling charges for the list of tariffs which Licensed NFC … that the deliverer of NFC shall be responsible for storage charges for 60 days, with the receiver being responsible at …
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CFTC Obtains Default Judgment against New York-based SK Madison Commodities, LLC and its Principals, Michael James Seward and Yan Kaziyev, for Commodity Pool Fraud and Other Violations
… June 11, 2014 CFTC Obtains Default Judgment against New York-based SK … than $3.5 Million in Restitution and a Monetary Penalty in CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Sidney H. Stein of the U.S. …
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CFTC Orders Brooklyn-Based Commodity Pool Operator and its Principal to Pay $1,350,000 in Restitution and Civil Monetary Penalties for Fraud, Misappropriation, and Furnishing False Documents to the National Futures Association
… Release: 5589-08 For Release: December 19, 2008 CFTC Orders Brooklyn-Based Commodity Pool Operator and its … DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed and settled charges of fraud, filing false documents, and … CFTC Orders Brooklyn-Based Commodity Pool Operator and its …
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Federal Court Orders More than $16.2 Million in Customer Restitution and Monetary Penalties against Texas Defendants Scott P. Kear, Sr., Jeffery L. Lyon and their Firms in CFTC Anti-Fraud Action
… Scott P. Kear, Sr., Jeffery L. Lyon and their Firms in CFTC Anti-Fraud Action Elderly persons targeted through … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained more than $16.2 … Court of the Northern District of Texas, resolves a CFTC anti-fraud enforcement action filed in September 2009 …
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2013-19845
… of the following methods: Agency Web site: http://comments.cftc.gov. Mail: Secretary of the Commission, Commodity … Comments will be posted as received to http://www.cftc.gov. You should submit only information that you wish … which sets forth interim rules governing the capital charges arising from bank exposures to CCPs related to OTC …
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Statement of CFTC Chairman Heath P. Tarbert on the New Activities-Based Approach to Systemic Risk
… Statement of CFTC Chairman Heath P. Tarbert on the New Activities-Based … Statement of CFTC Chairman Heath P. Tarbert on the New Activities-Based …
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Federal Court in Nevada Orders Commodity Futures Software Vendor to Pay More than $674,000 for Solicitation Fraud and Failing to Register with the CFTC
… for Solicitation Fraud and Failing to Register with the CFTC Washington, DC – The Commodity Futures Trading Commission (CFTC) announced today that the Honorable Gloria M. Navarro … trading software customers, failed to register with the CFTC and failed to provide required disclosures to …
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CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates
… February 1, 2018 CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million … Washington, DC  – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against  Deutsche Bank Securities Inc.  (DBSI) for … CFTC Orders Deutsche Bank Securities Inc. to Pay $70 Million …
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CFTC Seeks to Revoke the Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Fraud and on Walji’s Conviction for Criminal Commodities Fraud
… February 20, 2014 CFTC Seeks to Revoke the Registrations of Abdul Sultan Walji … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the … and Arista are subject to statutory disqualification from CFTC registration based on a consent Order for permanent …
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