Displaying results 1891 - 1900 of 2823
Dissenting Statement of Commissioner Dawn D. Stump Regarding Settlement with Easterday Ranches, Inc.
… the Commission appropriately brought (and today settles) charges against Easterday Ranches of violating provisions of …
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Dissenting Statement of Commissioner Caroline D. Pham on SEF Enforcement Actions
… D.C. – U.S. Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham issued the following dissenting statement on the CFTC’s recent enforcement actions regarding Tradition SEF … actions enshrining a new prescriptive approach to the CFTC’s longstanding Core Principles regulatory framework for …
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Federal Court Orders Minnesota Man and Two Companies to Pay Over $2 Million for Futures Fraud and Misappropriation
… from further violations of the Commodity Exchange Act and CFTC regulations, as charged. The order resolves the CFTC’s enforcement action against Miller, F2F, and PDM.  [See CFTC Press Release No. 8663-23 .] Case Background   The …
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71fr38740
… and "contract markets." As part of its SRO study, the CFTC considered whether the current level of "public" … are available on the Commission's Web site at http://www.cftc.gov, or are available through the Acting Secretary of … which is authorized by an SRO to issue disciplinary charges, to conduct proceedings, to settle disciplinary …
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Statement of Commissioner Kristin N. Johnson Supporting Enforcement Action Against Bitcoin Fraud
… Today, the Commodity Futures Trading Commission (CFTC or Commission) instituted a settled public … permanently barred from trading and registration with the CFTC. Unfortunately, digital commodity asset or … ; CFTC Release Number 8023-19, CFTC Charges Individual with Multi-Million Dollar Bitcoin Fraud, …
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Federal Court Orders Defendants to Pay More than $6.6 Million for Defrauding Binary Options Pool Participants
… in addition to a $500,000 civil monetary penalty. The charges stem from a CFTC action filed on May 1, 2019 charging the defendants with fraud and misappropriation. [See CFTC Press Release No. 7923-19 ]   Case Background The …
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Federal Court Orders Florida Man and His Company to Pay Over $102 million in Restitution and Penalties for Forex Fraud
… LLC. The order resolves a civil enforcement action the CFTC brought on September 9, 2020, against Singh, Highrise, … dollar off-exchange foreign currency (forex) scheme. [See CFTC Press Release No. 8246-20 ] (The case was amended on … four feeder commodity pools; failed to register with the CFTC as required; and violated regulatory requirements …
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Remarks of Enforcement Director Ian McGinley at the New York University School of Law Program on Corporate Compliance and Enforcement: “The Right Touch: Updated Guidance on Penalties, Monitors, and Admissions”
… move from the nosebleeds to the podium. Since I joined the CFTC as the Director of Enforcement, I’ve had the pleasure … of people whose reputation preceded it.  From outside the CFTC, my observation had always been that the Division—under … you. [1] See  Press Release Number 8638-22, CFTC, CFTC Charges Sam Bankman-Fried, FTX Trading and Alameda with …
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2022-26758
… Commodity Futures Trading Commission (``Commission'' or  ``CFTC'') is soliciting public comment on a joint request … reporting laws and regulations of Mexico applicable to CFTC- registered swap dealers organized and domiciled in … risk exposure requirement using  standardized capital charges set forth in Securities and Exchange  Commission …
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Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA
… Mankad and his affiliated entities CTAX Series, LLC , a CFTC-registered commodity pool operator, and CTAX Partners, LLC , a CFTC-registered introducing broker. The order resolves a … issued an order simultaneously filing and settling related charges against Paul Ohanian , an SEC-registered investment …
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