Displaying results 1781 - 1790 of 2823
CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 Penalty for Failing to Maintain Adequate Funds in Secured Accounts in Connection with Conversion by Exchange of Certain Off-Exchange Instruments to On-Exchange Products
… September 3, 2013 CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Macquarie Futures USA LLC (Macquarie), a New … CFTC Orders Macquarie Futures USA LLC to Pay a $150,000 …
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Statement of Commissioner Kristin N. Johnson Regarding the CFTC’s Notice of Proposed Rulemaking on Operational Resilience Program for FCMs, SDs, and MSPs
… . . . issues submitting timely and accurate data to the CFTC.” [9] The COT report is designed to help the public … . [7] Kristin N. Johnson, Commissioner, CFTC, Opening Statement Before the Market Risk Advisory Committee Meeting (Mar. 8, 2023), https://www.cftc.gov/PressRoom/SpeechesTestimony/johnsonstatement030823 …
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Federal Court Orders Kevin Michael Symons of Foot Hill Ranch, Calif., & His Firm, FTS Financial, Inc., to Pay over $5 Million Total for Fraud & Jerry Austin Simmons of Charlotte, N.C., to Pay $360,000 for Fraud & Failure to Register with the CFTC
… to Pay $360,000 for Fraud and Failure to Register with the CFTC Washington, DC – The Commodity Futures Trading Commission (CFTC) announced that Judge Ronnie Abrams of the U.S. … accounts without being registered as required with the CFTC as an Associated Person (AP) of a Commodity Trading …
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CFTC Orders Pennsylvania Resident Christopher A. Engel and Pinnacle Forex Group LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $819,000 for Engaging in Commodity Pool Fraud and Misappropriation
… December 3, 2014 CFTC Orders Pennsylvania Resident Christopher A. Engel and … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Respondents … from further violations of the Commodity Exchange Act and CFTC regulations, as charged, and permanently bans them from …
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2010-31133
… SUMMARY: The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is proposing rules to implement … Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments … the SDR; and (iv) provide fair and open access and fees and charges that are equitable and non-discriminatory. …
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CFTC Seeks to Revoke the Registrations of John G. Wilkins and His Company, Altamont Global Partners LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wilkins’ Related Criminal Conviction
… November 25, 2014 CFTC Seeks to Revoke the Registrations of John G. Wilkins … DC —The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the … and Wilkins are subject to statutory disqualification from CFTC registration based on an Order for entry of default …
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CFTC Revokes Registrations of Abdul Sultan Walji and His Company, Arista LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Walji’s Conviction for Criminal Commodities Fraud
… October 17, 2014 CFTC Revokes Registrations of Abdul Sultan Walji and His … DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced today that it has revoked the … Capistrano, California. Arista had been registered with the CFTC as a Commodity Pool Operator, and Walji had been …
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Federal Court Orders Michigan Man, California Man, and Two Nevada Companies to Pay Over $25 Million for Digital Asset Fraud
… against the defendants and bans them from trading in any CFTC-regulated markets; entering into any transactions … or digital asset commodities; and registering with the CFTC.    Case Background   The default order finds from at … Mass. Jan. 18, 2022)).] Crater was found guilty of those charges on July 21, 2022, and was sentenced to 100 months in …
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Capital & Margin
… Dodd-Frank Act, we urge the prudential regulators and the CFTC to specifically include in the definitions of … Act. See 7 U.S.C. 2(h)(7); 15 U.S.C. 78c-3(g)." The CFTC, in its NPR, states that their definition of financial … transfer the cost to the end-user counterparty as credit charges on the transaction. Dealers generally post and …
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CFTC Orders an Iowa Introducing Broker and Its Principals to Pay $11.9 Million in Restitution to Farmers and a $1.25 Million Civil Monetary Penalty for Fraud, Unauthorized Trading, and False Statements to the CME, Among Other Violations
…  September 26, 2018 CFTC Orders an Iowa Introducing Broker and Its Principals to … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Kooima & Kaemingk Commodities, Inc. (K&K), …
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