Displaying results 2161 - 2170 of 2823
Federal Court in Ohio Orders over $31 Million in Restitution and Civil Monetary Penalties against John R. Bullar and His Company, Executive Management Advisors L.L.C., for Commodity Pool Operator and Commodity Trading Advisor Fraud and Ponzi Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Michael R. Barrett of the … Pool Operators (CPOs) without registering as such with the CFTC.  The Orders also impose permanent trading and … Exchange Act, as charged. The Orders arise out of a CFTC Complaint filed on September 23, 2014, which charged …
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Testimony Before the U.S. Senate Committee on Agriculture
… Testimony before the US Senate Committee on Agriculture CFTC Chairman Gary Gensler July 17, 2012 Good morning … Protection Act (Dodd-Frank Act).  I also will review the CFTC’s settlement with Barclays on the London Interbank … 13, Mr. Wasendorf appeared in court on federal criminal charges.   The criminal authorities had arrested him for …
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Precious Metals Fraud
… that precious metals transactions are not regulated by the CFTC or the National Futures Association. Agreement that … Precious Metals, Ask, Ask, and Ask Some More! Contact the CFTC at 866.366.2382 or the National Futures Association to … or believe you have been defrauded, please contact the CFTC quickly. Call the CFTC or file a tip or complaint . …
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Federal Court Orders Illinois Software Development Firm to Pay Penalty and Disgorgement for Aiding and Abetting Illegal Conduct
… the Division of Enforcement’s Spoofing Task Force. [See CFTC Press Release No. 7689-18 ] The order provides that … computer programming services in connection with trading in CFTC-regulated markets for a period of two years. Further, … CFTC’s enforcement mission. We will not hesitate to bring charges against entities and individuals for similar conduct …
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Federal Court in Utah Imposes over $44 Million in Sanctions against Robert Andres and His Company, Winsome Investment Trust, and Robert Holloway and His Company, US Ventures, for Commodity Pool Fraud and Misappropriation
… DC — The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order requiring Defendants … Act, as charged. The default judgment Order stems from a CFTC civil enforcement action filed on January 24, 2011, … fraud in the operation of a commodity futures pool (see CFTC Press Release 5976-11 ). The Order (see Related Link) …
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Industry Filings
...July 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 07/30/2004 07/30/2004 NYMEX Listing of Additional Strike Prices for the Gold, Silver, Copper, Heating Oil, Crude Oil, Unleaded Gasoline, Natural Gas and Related Calendar…
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Federal Court in North Carolina Orders James A. Shepherd and His Company, James A. Shepherd Inc., to Pay More than $15 Million in a Monetary Penalty and Restitution for Commodity Pool Fraud
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Robert J. Conrad, Jr. of … further violations of the Commodity Exchange Act (CEA) and CFTC Regulations, as charged, and imposes permanent trading … Pines, North Carolina. The Court’s Order arises from a CFTC enforcement action filed against Shepherd and JAS Inc. …
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Statement of Commissioner Caroline D. Pham Regarding Court Orders Entered Against BitMEX Co-Founders
… Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the … which include $30 million in penalties, highlight the CFTC’s leading role in bringing digital assets within the … of the Division of Enforcement staff, who pursued these charges and achieved these successful results.” …
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Federal Court Orders U.S. Bank National Association to Pay $18 Million to Peregrine Customers
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that on February 4, 2015, Chief Judge … $215 million of customers’ money.  On July 10, 2012, the CFTC instituted a civil action against Wasendorf and Peregrine, CFTC v. Peregrine Financial Group, Inc. and Russell …
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Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Trading Bans against Inter-Global Currency & Precious Metals and Stavros Papastavrou for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Ft. … registering, trading, soliciting, and engaging in other CFTC-regulated activities. According to the Order, since at … Wise) and AmeriFirst Management LLC (AmeriFirst). The CFTC filed enforcement actions against, among others, Lloyds …
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