Displaying results 2221 - 2230 of 2823
Federal Court in Chicago Enters $14 Million Judgment against Options Trader for Fraudulent Options Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John Robert Blakey of the … for Permanent Injunction (Consent Order), which resolves charges against Defendant Thomas C. Lindstrom , of Winnetka, … Options). The October 4, 2018 Consent Order stems from a CFTC Enforcement Complaint filed on September 29, 2016, …
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Federal Court Orders Scott M. Ross and his Companies to Pay More than $6.7 Million in Restitution and a Civil Monetary Penalty for Defrauding Investors in His Commodity Pools, Mishandling Customer Funds, and Failing to Properly Register as a Commodity...
… DC  – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order requiring Defendants  … Court for the Northern District of Illinois, stems from a CFTC Complaint filed in September 2009, charging Ross and … customer funds, and failing to properly register with the CFTC as a Commodity Pool Operator (see CFTC Press Release  …
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Speech, "Not Your Father's Regulator," before the Futures Industry Association, Law and Compliance Luncheon
… Today I want to discuss the important linkage between the CFTC, as your regulator, and this industry. REGULATORY … Act (CFMA) that made a fundamental change in the way the CFTC works. It is what I call a “regulatory revolution.” … allows enormous flexibility. It allows the industry and the CFTC to look around the corner, to be nimble and quick and …
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Keynote Address of Chairman Rostin Behnam
… morning.  Today will be my last official remarks as the CFTC’s 15 th Chairman. It is too early to fully process and … become accustomed to. Throughout my tenure, I believe the CFTC has delivered an undeniable record of using regulation, … and derivatives oil markets. [34]   The second resolved charges against the world’s largest digital asset exchange …
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Address by Chairman James E. Newsome before the Futures Industry Association/Futures Option Association, International Derivatives Conference
… markets generally, there are some things going on at the CFTC that I want to mention. For those who know me, you know … energy sector investigations, which may result in further charges being filed, but let me take a moment here to … I’d like to take a moment to share with you a few of the CFTC’s current efforts and mention some issues on which our …
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Testimony by Chairman James E. Newsome before the Subcommittee on General Farm Commodities and Risk Management Committee on Agriculture, U.S. House of Representatives
… in the U.S. economy. Today, I would like to describe the CFTC’s role in overseeing those markets and how both the … in other sectors, including many energy markets. How the CFTC Performs Its Mission: In seeking to fulfill its … in the energy sector, which may result in further charges being filed. However, I want to make clear that when …
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Federal Court Orders Washington State Feedyard to Pay $263 Million for Phantom Cattle Fraud Scheme and Violating Position Limits
… from further violating the Commodity Exchange Act and CFTC regulations, from trading on or subject to the rules of any CFTC-registered entity, and from engaging in any activities requiring registration with the CFTC. The court’s order stems from a CFTC complaint filed on …
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Keynote Address by Commissioner Scott D. O’Malia, SIFMA Compliance and Legal Society Annual Seminar
… CFTC’s Implementation of Dodd-Frank — Grading Agency … I am truly honored to be the first Commissioner from the CFTC to speak to this audience. In today’s financial world, … ordered UBS to pay a $700 million penalty to settle charges of manipulation and false reporting of LIBOR and …
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2024-15095
… Commodity Futures Trading Commission  (``Commission'' or ``CFTC'') issued a notice and request for comment on  an … CONTACT: Amanda L. Olear, Director, 202-418- 5283, aolear@cftc.gov; Thomas Smith, Deputy Director, 202-418-5495,  … Rules, that the Commission impose additional capital charges for swap  contracts with a flip clause,\115\ the …
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Remarks of Chairman Timothy Massad before the Energy Risk Summit USA 2015
… will make that possible. Reporting of Illiquid Swaps . CFTC staff also granted relief from the real-time reporting … Services announced a settlement with Deutsche Bank over charges of manipulating their LIBOR submission. As you know, … of Securities Commissions (IOSCO) in this area, which the CFTC helped lead. IOSCO’s Principles for Oil Price Reporting …
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