Displaying results 2251 - 2260 of 2823
Statement of Commissioner Sharon Y. Bowen on Enhancing Protections for Retail Forex Customers
… how far the NFA can go in addressing this on their own. The CFTC itself needs to adopt more rigorous regulations on … pairs). The dealers should also be subject to concentration charges if they are overly exposed to a particular currency pair or liquidity provider. These charges would incentivize the RFEDs to balance their, and …
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J.P. Morgan Securities LLC Agrees to Pay $140,000 Penalty for Confirming the Execution of a Prearranged Trade on the CBOT
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against futures commission merchant J.P. Morgan … executed on the Chicago Board of Trade (CBOT). The CFTC order requires that JPMS pay a $140,000 civil monetary …
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Missouri Federal Court Orders Gregory Christopher Evans to Pay a Penalty of over $1.2 Million for Fraud and Unauthorized Swaps Trading
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that Senior Judge Ortrie D. Smith of … and permanently banning Evans from registering with the CFTC and engaging in any commodity-related activity, … a resident of Kansas City, Missouri. The Order resolves a CFTC enforcement action filed in September 2014, which …
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2013-30974
… CONTACT: Gary Barnett, Director, 202-418-5977, gbarnett@cftc.gov, Frank Fisanich, Chief Counsel, 202-418-5949, ffisanich@cftc.gov, Adam Kezsbom, Special Counsel, 202-418-5372, … acquisitions and disposals of financial products, the charges and credits arising from them, and the names of the …
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Federal Court Orders UAE Residents Heet Khara and Nasim Salim to Pay Combined Civil Monetary Penalties of $2.69 Million for Spoofing in the Gold and Silver Futures Markets
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in New York … a Consent Order imposing a permanent injunction against CFTC Defendants Heet Khara and Nasim Salim , residents of … pay a $1.31 million civil monetary penalty to settle CFTC charges of spoofing in the gold and silver futures markets. …
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Federal Court in California Orders James D. Crombie to Pay over $1.5 Million for Misrepresentations to the National Futures Association and for Solicitation Fraud
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Order against defendant James … Court for the Northern District of California, stems from a CFTC Complaint filed against Crombie and Paron on September 15, 2011 (see CFTC Press Release 6112-11 ). On September 5, 2012, the …
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Statement of Commissioner Dawn D. Stump
… count myself among those who serve as Commissioners at the CFTC – those whom I have had the privilege to work …
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LJH Global Investments, LLC of Naples, Florida, Ordered to Pay $125,000 Penalty for Failure to File Annual Reports on Time
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that LJH Global Investments, LLC (LJH) will pay a $125,000 civil monetary penalty to settle charges that it failed to file annual reports on time for commodity pools it operates, as required by CFTC regulations. LJH is a registered commodity pool …
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Federal Court Orders Two Delaware Companies to Pay Nearly $146 Million for Misappropriation and Fraud Related to a Precious Metals Scheme
… further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and impose permanent trading bans in any CFTC-regulated markets as well as registration bans against the defendants. The orders resolve the CFTC’s October 5, 2022 lawsuit and finds the defendants …
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Before You Trade
… are properly registered and in good standing. Check the CFTC RED List (Registration Deficient). You should avoid the … 800-676-4632 Check online for disciplinary history with the CFTC or call us at 866-366-2382 Contact your state’s … or regulated institutions or entities that are outside the CFTC's jurisdiction. Check the following websites (note that …
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