Displaying results 2281 - 2290 of 2823
Minnesota Federal Court Orders the Release of Frozen Assets for the Payment of Restitution to Defrauded Customers in Action Brought by the Commodity Futures Trading Commission
… DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that on September 5, 2007, Judge … Court for the District of Minnesota re-opened the case of CFTC v. Sovereign Resource Management, Inc., et al., No. … solicited. This action stems from a complaint filed by the CFTC on July 18, 2002, which charged Heppner and others with …
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Florida Federal Court Orders Claudio Aliaga and His Company, CMA Capital Management, LLC, to Pay $5.5 Million in Penalties and Restitution for Operating a Forex Ponzi Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a judgment for $5.5 … (forex) managed accounts and/or a pooled investment (see CFTC Press Release 5807-10 , April 12, 2010). On September … successful trading of foreign currency contracts. CFTC Division of Enforcement staff members responsible for …
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Former Floor Broker John Lee Neuman Permanently Banned from Trading for Fraud and Unauthorized Trading
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled fraud and unauthorized trading charges against former floor broker John Lee Neuman of Naperville, Ill. Neuman was registered with the CFTC as a floor broker from May 1993 until February 2008 and …
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2018-24643
… The Commodity Futures Trading Commission (Commission or CFTC) is requesting public comment regarding the practice of … methods:      The agency's website: http://comments.cftc.gov . Follow the instructions for submitting comments. … include the Volcker Rule, Basel III Accords, capital charges and other bank capital-based restrictions. See …
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Federal Court Orders Defendants to Pay More than $4.25 Million for Fraud and Misappropriation
… client funds. The case was brought in connection with the CFTC Division of Enforcement’s Virtual Currency Task Force. … Commission Merchants without being registered with the CFTC. The order permanently enjoins the defendants from … was ordered to disgorge $463,097. The order resolves a CFTC enforcement case filed on April 16, 2018, charging the …
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Federal Court Orders UK Man to Pay More Than $571 Million for Operating Fraudulent Bitcoin Trading Scheme
… in conduct that violates the Commodity Exchange Act and CFTC regulations, registering with the CFTC, and trading in any CFTC-regulated markets. The judgment is the result of a 2019 …
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Federal Court in Illinois Orders Former Futures Trader David Sklena to Pay over $6.6 Million for Cheating Customers
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court order … Court for the Northern District of Illinois, stems from a CFTC complaint filed in January 2008, charging Sklena with fraud and non-competitive trading (see CFTC Press Release 5434-08 , January 10, 2008). The order …
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U.S. District Court Orders Two Florida Residents and a Florida Firm to Pay More Than $4 Million for Defrauding Investors in a Foreign Currency Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a default judgment … currency (forex) fraud. The default order stems from a CFTC complaint, filed in the U.S. District Court for the … (FBI) arrested de Sousa and Rosario based on criminal charges filed by the U.S. Attorney’s Office for the Southern …
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Federal Court in North Carolina Orders Dennis Todd Hagemann and Yellowstone Partners, Inc. to Pay More than $1.6 Million for Defrauding Investors in a Foreign Currency Ponzi Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal default … investors in a foreign currency (forex) Ponzi scheme (see CFTC Press Release 5795-10, March 15, 2010). The order, … on March 10, 2010, by North Carolina authorities based on charges by the North Carolina Securities Division. …
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Statement of Commissioner Kristin N. Johnson Regarding Unregistered Crypto Futures Platform, Price Manipulation, and Failure to Comply with AML/KYC/CIP Obligations
… The Commodity Futures Trading Commission (CFTC) today filed a complaint in the U.S. District Court for … to run afoul of the requirement to register with the CFTC as an FCM, and to comply with the Bank Secrecy Act … price of DGTX for his financial gain. The mission of the CFTC is to promote the integrity, resilience, and vibrancy …
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