Displaying results 2051 - 2060 of 2823
Federal Court Orders Illinois CPA Michael Tunney and His Accounting Firm, Tunney & Associates, P.C., to Pay a $100,000 Penalty for Improper Audits of a Commodity Futures Firm
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Consent Order against Tunney … to pay a $100,000 civil monetary penalty for violating CFTC Regulations when conducting audits for The Linn Group (TLG), a CFTC-registered Futures Commission Merchant (FCM). The …
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Former Duke Energy Trader Michael Whitney to Pay a $55,000 Penalty in Natural Gas False Reporting Case
… DC − The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $55,000 civil … and a permanent injunction in a consent order that settles charges against Michael Whitney , a former Houston-based … for a period of four years. The order, which resolves the CFTC’s enforcement action against Whitney in its entirety, …
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Chicago-Based R.J. O’Brien & Associates, LLC Sanctioned $300,000 for Supervision Violations
… DC ― The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and settling charges against R.J. O’Brien & Associates, LLC (RJO), of … Associated Person (AP), sole principal, and owner. The CFTC order finds that, from at least January 2003 through …
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Federal Court in Florida Orders Anthony J. Klatch II, Lindsey Heim, and their Company Assurance Capital Management, LLC to Pay More than $2.4 Million in Restitution and Civil Monetary Penalties for Commodity Pool Fraud and Misappropriation
… Disclose His Violations of the Commodity Exchange Act and CFTC Regulations in Connection with All Future Speeches or … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Susan C. Bucklew of the U.S. … 2017 (see CFTC Complaint and Press Release 7524-17 , CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey …
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Federal Court Orders North Carolina Companies and Their Owners to Pay Over $5.3 Million for Forex Fraud
… LLC , all North Carolina limited liability companies, on charges the defendants operated a fraudulent foreign … and their three related companies from trading in any CFTC-regulated markets and registering with the CFTC. It also requires them to pay, jointly and severally, …
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Federal Court in Florida Imposes $350,000 Penalty against GlobeFX Club, Inc. and Jeremy Munson Globe for Making False Statements to the National Futures Association
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order of permanent … Exchange Act, as charged. The consent order stems from a CFTC complaint filed on March 17, 2011 (see CFTC Press Release 6006-11 , March 21, 2011). The complaint charges that from February to March 2009, GFC, through …
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Federal Court Orders Moroccan Resident Richmond Hamilton, Jr., and Chicago Commodity Pool Operator Raleigh Capital Management, Inc. to Pay More than $4 Million in Restitution and a Civil Monetary Penalty for Misappropriation & False Statements to the NFA
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order … commodity-related activity within the jurisdiction of the CFTC, including trading and registering with the CFTC in any capacity. The permanent injunction order, …
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U.S. Commodity Futures Trading Commission Continues its Aggressive Enforcement Program and Achieved Record Judgments during Fiscal Year 2007
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today the enforcement results for its fiscal … which ended on September 30, 2007. During the year, the CFTC’s Division of Enforcement was awarded a record total of … with an average of approximately 125 professionals, the CFTC’s Enforcement Division litigated more than 50 percent …
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Federal Court Orders Oscar Hernandez and His Companies to Pay $1.4 Million in Penalties and Bars Him from the Commodities Industry for Operating a Commodity Pool Ponzi Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order … to pay a $1.4 million civil monetary penalty to settle CFTC charges that they operated a multi-million dollar …
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Federal Court in Tennessee Orders Blue Sky Capital Management Corp. and its Principal, Gregory M. Schneider, to Pay $140,000 for Making False Statements to the National Futures Association
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order … industry self-regulatory organization, which operates under CFTC oversight. Schneider currently resides in Bellville, … Court for the Middle District of Tennessee, stems from a CFTC complaint filed on August 8, 2011 (see CFTC Press …
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