Displaying results 2011 - 2020 of 2823
Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer
… U.S. customers and to modify website Action part of CFTC’s second nationwide sweep against forex firms for … register under the 2008 Farm Bill, the Dodd-Frank Act, and CFTC regulations Washington DC – The U.S. Commodity Futures … to pay a $140,000 civil monetary penalty to settle CFTC charges. The order finds that Trading Point unlawfully …
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U.S. Commodity Futures Trading Commission Settles Foreign Currency (Forex) Fraud Action against Defendant Hao Jan Lu; Total Orders by the Court Exceed $13 Million
… – The United States Commodity Futures Trading Commission (CFTC) announced today that Judge A. Howard Matz of the U.S. … District of California issued a consent order settling the CFTC’s action against Hao Jan Lu , of Rowland Heights, … order stems from a First Amended Complaint filed by the CFTC on May 10, 2004, alleging that Lu, along with …
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71fr57451
… Commodity Futures Trading Commission (``Commission'' or ``CFTC'') is proposing to amend its regulations to provide … the instructions for submitting comments. E-mail: secretary@cftc.gov. Include ``Proposed Amendment to Rule 1.17'' in the …
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U.S. Commodity Futures Trading Commission Obtains Federal Court Order Freezing Assets of California-based Safevest LLC
… DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a federal court order … Court for the Central District of California, arises from a CFTC complaint filed on the same day alleging that … virtually all customer funds. The complaint also charges that since at least May 2007, Safevest fraudulently …
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2010-29023
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory … Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments … to a disciplinary panel or other authority for issuance of charges, instruction to investigate further, or finding that …
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Federal Court in Illinois Orders Former Sentinel Management Group, Inc. Senior Vice President Charles K. Mosley to Pay More than $2 Million for Misusing Customer Funds
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Charles P. Kocoras of the … Charles K. Mosley of Vernon Hills, Illinois, resolving charges of customer funds segregation violations of Section … violations of the CEA, as charged. The Order stems from a CFTC Complaint filed against Sentinel, Mosley, and …
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Federal Court Orders Florida Resident Lawrence Scott Spain and His Florida Company, Palm Beach Capital LLC, to Pay More than $520,000 in Restitution for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on August 4, 2014, Judge Beth … was in Boca Raton, Florida. The court’s Order stems from a CFTC Complaint filed on May 13, 2014, that charged the … their funds to trading losses, commissions, fees, and other charges by PBC and other companies, and that PBC received …
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Federal Court Orders More than $1.3 Million in Sanctions and Enters a Default Judgment Order against Florida-Based Gold Distributors, Inc. and Its Owner, Jordan Cain, for Engaging in Illegal, Off-Exchange Commodity Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge William J. Zloch of the … The Order, entered on November 24, 2014, stems from a CFTC Complaint filed on March 19, 2014, that charged the … customers on a leveraged, margined, or financed basis (see CFTC Press Release 6884-14 ). Specifically, the Order finds …
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2024-15725
… Futures Trading Commission (the  ``Commission'' or ``CFTC'') by clicking on the ``Submit Comment'' box  next to … entry for OMB Control No. 3038-0115, at https://comments.cftc.gov/FederalRegister/PublicInfo.aspx.     Or by either …
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Los Angeles Federal Court Orders California Company and Two of its Principals to Pay $4.2 Million to Defrauded Commodity Option Customers
… D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that the United States District Court … District of California entered a consent order settling the CFTC’s charges in a sales solicitation fraud case the agency …
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