Displaying results 1791 - 1800 of 2823
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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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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CFTC Orders Russian Resident Yakov Shlyapochnik and His Connecticut-Based Company, Nord Capital Advisors LLC, to Pay a $280,000 Penalty for Failing to Disclose Company’s Principal in Registration Filings and for Company’s Fraudulent Solicitation
… September 24, 2015 CFTC Orders Russian Resident Yakov Shlyapochnik and His … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Russian citizen, … material changes in NCA’s algorithmic trading program. The CFTC Order also imposes permanent trading and registration …
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In CFTC Action, Federal Court Orders Precious Metals Firm and its Principal to Pay More than $3.6 million in Monetary Sanctions for Precious Metals Fraud and Misappropriation
… March 18, 2019 In CFTC Action, Federal Court Orders Precious Metals Firm and … Washington DC — The Commodity Futures Trading Commission (CFTC) announced today that a federal court in Florida has … Judgment Order also permanently bars them from trading in CFTC regulated markets, as well as seeking registration with …
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Federal Court Orders Florida Resident Rico Omar Cox to Pay Over $940,000 and Imposes Permanent Trading and Registration Bans for Solicitation Fraud and False Statements in Commodity Futures Fraud Action Brought by CFTC
… Statements in Commodity Futures Fraud Action brought by CFTC Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge William J. Zloch of the … bans on him. Cox has never been registered with the CFTC in any capacity. The Order arises out of the CFTC …
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An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole and Global Strategic Marketing, Inc. to Pay over $2.2 Million in Sanctions in Connection with Foreign Currency Ponzi Scheme
… 21, 2014 An Ohio Federal Court Rules against Defendants in CFTC Fraud Action and Orders Patrick Cole and Global … DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that Judge David D. Dowd Jr. of the … his company, Global Strategic Marketing, Inc. (GSM) in a CFTC enforcement action and finds that the Defendants …
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CFTC Orders Citibank, N.A. and London-based Citigroup Global Markets Limited to Pay a $550,000 Penalty for Swap Data Reporting Violations Involving Legal Entity Identifier Information and Related Supervision Failures
… September 25, 2017 CFTC Orders Citibank, N.A. and London-based Citigroup Global … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global … CFTC Orders Citibank, N.A. and London-based Citigroup Global …
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Federal Court Orders International Enterprise to Pay Over $451 Million for Global Binary Options Fraud
… and other violations of the Commodity Exchange Act and CFTC regulations in connection with a global retail binary … and permanently bans them from registering with the CFTC and from trading in any CFTC-regulated markets.   The order stems from the CFTC’s …
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Remarks of CFTC Chairman J. Christopher Giancarlo at the Futures Industry Association Law & Compliance Division Conference
… Remarks of CFTC Chairman J. Christopher Giancarlo at the Futures … prosperity and create jobs.   When people think of the CFTC, they think of futures, options and swaps markets, … regular reviews of DCOs’ margin models, concentration charges and default management plans surely would have …
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CFTC Orders Georgia Resident Michael E. Simmons and His Company Global Consortiums, LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $589,000 for Engaging in Foreign Exchange Commodity Pool Fraud
… September 28, 2015 CFTC Orders Georgia Resident Michael E. Simmons and His … DC – The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Respondents Michael … Neither Respondent has ever been registered with the CFTC. The CFTC Order requires Simmons and Global Consortiums …
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