Displaying results 1991 - 2000 of 2823
Keynote Address of Director of Enforcement James M. McDonald at the Practising Law Institute's White Collar Crime 2019 Program
… Crime 2019 Program September 25, 2019   The mission of the CFTC’s Division of Enforcement is to protect the public and … Vigorous enforcement is essential to fulfilling the CFTC’s broader goals, as Chairman Tarbert has made clear in … just a few examples.  In the retail fraud area, we filed charges against an array foreign currency trading firms and …
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Federal Court in New York Orders MF Global Holdings Ltd. to Pay $1.212 Billion in Restitution for Unlawful Use of Customer Funds and Imposes a $100 Million Penalty
… DC - The U.S. Commodity Futures Trading Commission (CFTC) has obtained a federal court consent Order against … subsidiary, MF Global Inc. (MFGI), are paid in full. The CFTC previously filed and settled charges against MFGI for misuse of customer funds and …
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U.S. Commodity Futures Trading Commission Files Action Against Futures Commission Merchant Forefront Investments Corporation d/b/a CFG Trader For Failure to Maintain the Minimum Amount of Net Capital Required by Federal Law
… D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a complaint in the U.S. … a Futures Commission Merchant (FCM) registered with the CFTC. The complaint alleges violations of the minimum net … Commission regulation. As of March 19, 2007, the complaint charges, Forefront’s adjusted net capitalization remained …
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Keynote Address of Chairman Rostin Behnam at the Brookings Institution Webcast on The Future of Crypto Regulation
… a single comprehensive regulatory regime.  Instead, the CFTC, other federal agencies, and state regulators are most … goals, risk principles, and avoidance of systemic risk. The CFTC’s core responsibility is regulating the commodity … . [18] See, e.g., Press Release Number 8452-21,CFTC,  CFTC Charges El Paso Resident and His Firm in Ongoing $3.9 …
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U.S. Commodity Futures Trading Commission Files Fraud Action against Florida Foreign Currency Firm, Its Owner, and Futures Commission Merchant
… D.C. — The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in the … Clearing, LLC (WWC) of Fort Lauderdale, Florida. The CFTC complaint (CFTC v. Millenium Trading Group, Inc., … customers.  The complaint, filed on April 10, 2007, further charges that MTG and Stanton solicited potential customers …
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Federal Court Finds that St. Augustine, Florida, Couple and Their Company Defrauded Customers in Off-Exchange Foreign Currency Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that it obtained a federal court consent … result of the course of the illegal conduct” charged in the CFTC complaint. The order also requires the defendants, … penalty to be determined later by agreement between the CFTC and the defendants. The order stems from a CFTC …
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Federal Court in Puerto Rico Orders Angel F. Collazo and ACJ Capital, Inc. to Pay over $3.7 Million for Solicitation Fraud and Issuing False Statements in an Off-Exchange Foreign Currency Scheme
… Scheme Collazo also pled guilty to related criminal charges Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court … Court for the District of Puerto Rico, stems from a CFTC complaint filed on May 4, 2011, that charged the …
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Federal Court in North Carolina Orders Toby D. Hunter, Prestige Capital Advisors, and D2W Capital Management to Pay over $11.7 Million for Fraud and other Violations in Commodity Pool and Managed Foreign Currency (Forex) Schemes
… DC -The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained federal court orders … Order of Permanent Injunction against Hunter stems from a CFTC enforcement action filed September 6, 2011, charging … entered a consent Order of Permanent Injunction settling charges stemming from the same violations of the CEA and …
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Federal Court Orders Oregon-based System Capital, LLC and its President Joshua Wallace to Pay $840,000 for Solicitation Fraud and Making False Statements to the National Futures Association
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Katherine B. Forrest of the … Exchange Act, as charged. The court’s Order stems from a CFTC Complaint filed on November 23, 2010, charging the … fraudulent scheme described above and to other, unrelated charges (United States v. Joshua Wallace, No. S1 11 Cr. 124 …
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2020-16492
… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is adopting new regulations imposing minimum capital … and Operational Combined Uniform Single Report in lieu of CFTC financial reports, to require certain Commission … Stand-Alone FCM and FCM-SD Standardized Market Risk Capital Charges     b. FCM and FCM-SD Standardized Counterparty …
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