Displaying results 1961 - 1970 of 2823
2011-12270
… also requires the Commodity Futures Trading Commission (``CFTC'' or ``Commission'') to promulgate a number of rules to … rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new …
Created on:
2010-30884
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory … Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments … amounts and types of collateral transferred; and (ix) All charges against and credits to each counterparty's account, …
Created on:
Federal Court Orders Washington Rancher to Pay $1 Million Penalty for Phantom Cattle Scheme, Position Limit Violations
… from further violating the Commodity Exchange Act and CFTC regulations, as charged. The order also permanently … Easterday from trading on or subject to the rules of any CFTC-registered entity and from engaging in any activities requiring CFTC registration. The order stems from a CFTC complaint …
Created on:
Federal Court Orders Chicago-area Trader and His Company to Pay $377,000 for Forex and Commodity Fraud
… in Park Ridge, Illinois. The consent order resolves a CFTC action filed on November 30, 2018 [See CFTC Press Release No. 7857-18 ] alleging solicitation … Kholamian, on nine counts of wire fraud. The criminal charges included the same scheme to defraud forex and …
Created on:
Federal Court Orders Florida Resident Richard Morello and His Florida Company, Vertical Integration Group LLC, to Pay over $2.5 Million in Monetary Sanctions for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Beth Bloom of the U.S. … transactions, as charged. The Court’s Order stems from a CFTC Complaint filed on January 13, 2014, that charged the … their funds to trading losses, commissions, fees, and other charges by Vertical and other companies, and that Vertical …
Created on:
Federal Court Orders Florida-Based North American Asset Management, LLC, Alexi Bethel, and Steven Labadie to Pay More than $1.6 Million in Restitution and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Jose E. Martinez of the U.S. … Exchange Act (CEA), as charged. The Order stems from a CFTC civil enforcement action filed against NAAM, Bethel, … in illegal, off-exchange precious metals transactions (see CFTC Complaint and Press Release 7331-16 ). NAAM Collected …
Created on:
Federal Court Orders New Jersey Resident and His Company to Pay Over $5 Million for Fraudulent Solicitation, Misappropriation, and Violation of Trading Prohibition in Prior Consent Order
… Jersey entered a final judgment and consent order resolving charges against defendants Swapnil Rege (Rege) and SwapStar … and misappropriation, and that Rege violated a prior CFTC consent order that, among other things, barred him from … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and imposes a $200,000 civil …
Created on:
Federal Court Orders BitMEX to Pay $100 Million for Illegally Operating a Cryptocurrency Trading Platform and Anti-Money Laundering Violations
… further violations of the Commodity Exchange Act (CEA) and CFTC’s regulations as charged. “This case reinforces the … of compliance,” said Acting Chairman Rostin Behnam. “The CFTC will take prompt action when activities impacting CFTC … indicted Hayes, Delo, Reed, and one other individual, on charges of willfully causing BitMEX to violate the Bank …
Created on:
New York Federal Court Orders Brian Kim and Liquid Capital Management, LLC, to Pay More than $12 Million in Restitution and Monetary Sanctions for Commodity Pool Fraud
… DC – The U.S. Commodity Futures Trading Commission (CFTC) on April 15, 2011, obtained a federal court order … commodity-related activity and from registering with the CFTC. The order, entered by Judge Denise L. Cote of the U.S. … Court for the Southern District of New York, stems from a CFTC complaint filed on February 15, 2011, that charged the …
Created on:
2013-07755
… The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap … number: 202-418-6700 and electronic mail: igoodman@cftc.gov or bgold@cftc.gov. SUPPLEMENTARY INFORMATION: I. Introduction A. … The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to make clear that each swap …
Created on: