Displaying results 2141 - 2150 of 2823
Remarks of Chairman Rostin Behnam at the U.S. Cattlemen’s Association 16th Annual Meeting, Fort Worth, Texas
… advocating for transparency and robust price discovery in CFTC markets, supporting the health and safety of our … such as insurance and commodity-based programs. Though the CFTC’s role is limited to enforcement authority in the cash … of $5 Mln | CFTC ; Press Release Number 5472-08, CFTC, CFTC Charges Texas Resident Rockland McMahan with Making False …
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Injunction against Robert Tripode for Engaging in Fraud in Connection with Forex
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Fort … from further violations of the Commodity Exchange Act and CFTC Regulations, as charged. The Consent Order, entered on … from his work as an agent of FMIF. The Order stems from a CFTC enforcement action filed on September 30, 2014, that …
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Federal Court Orders Ward Onsa of Marco Island, Florida and His Company, New Century Investment Management LLC of Southampton, Pennsylvania to Pay $5.7 Million Civil Monetary Penalty for Operating a Commodity Pool Ponzi Scheme
… DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that on March 20, 2014, Judge Mary A. … LLC (New Century), of Southampton, Pennsylvania, in a CFTC enforcement action. The court’s March 20, 2014, Order … registration and trading bans. The Orders stem from a CFTC Complaint filed on April 5, 2011, in which the CFTC …
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Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry
… President Eric A. Bloom from the Commodities Industry The CFTC Charged Bloom with Misusing Commodity Customer Funds In … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Charles P. Kocoras of the … A. Bloom , formerly of Northbrook, Illinois, to resolve charges against him alleging violations of Section 4d(b) of …
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Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Amy J. St. Eve of the U.S. … certain provisions of the Commodity Exchange Act (CEA) and CFTC Regulations adopted pursuant to the CFTC’s anti-spoofing and expanded anti-fraud and …
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Written Testimony of Chairman J. Christopher Giancarlo before the Senate Banking Committee
… regulators. SEC Chairman Clayton and I recently wrote: The CFTC and SEC, along with other federal and state regulators … 5 . It is this perspective that has guided our work at the CFTC on virtual currencies. Introduction: The Mission of the … For example, in February 2017, the CFTC filed and settled charges against Forex Capital Markets LLC for $7 million for …
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Federal Court Orders California Resident Ryan A. Nassbridges and his California Companies to Pay over $18 Million in Civil Monetary Penalties in a Commodity Pool Precious Metals Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that the U.S. District Court for the … from further violations of the Commodity Exchange Act and CFTC regulations, as charged.  The Order also requires … received from the Defendants’ fraud. The Order stems from a CFTC Complaint filed on December 8, 2010, charging the …
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Opening Statement of Chairman Gary Gensler: Open Meeting to Consider Position Limits
… public meeting of the Commodity Futures Trading Commission (CFTC) to consider proposed rules under the Dodd-Frank Wall … to the rule-writing process. I also want to thank the CFTC’s hardworking staff. Today we will consider two … seeking public comment on each of these proposed rules. The CFTC does not set or regulate prices. The Commission is …
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Federal Court Orders Chinese National to Pay More than $350,000 for Fraudulent Scheme to Trade Against Employer
… Dichao Xie , a resident of China. The order resolves a CFTC action filed on March 28, 2023. [See CFTC Press Release No. 8682-23 .] The order finds, among … further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and imposes five-year trading …
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Testimony before the U.S. Senate Committee on Banking, Housing, and Urban Affairs, Hearing on International Harmonization of Wall Street Reform: Orderly Liquidation, Derivatives, and the Volcker Rule, Washington, DC
… efforts at the Commodity Futures Trading Commission (“CFTC” or “Commission”), global initiatives to bring … in the OTC derivatives market, Congress broadened the CFTC’s jurisdiction to include oversight of the previously … (“SEC”) to cover security-based swaps. With respect to the CFTC, Title VII of the Dodd-Frank Act: (1) provides for the …
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