Displaying results 2341 - 2350 of 2823
Florida Federal Court Imposes More than $6 Million in Sanctions against a South Florida Corporation and Ft. Lauderdale Area-Resident Steven Labell in a Foreign Currency Fraud Case
… D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today that the Honorable Adalberto Jordan of … and Worldwide Commodity Corp. (collectively WWF), settling charges that they fraudulently solicited customers to … injunction was entered on May 21, 2007, and stems from a CFTC complaint filed on June 21, 2004 (see CFTC News Release …
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Northern California District Court Orders Defendants in a San Francisco Foreign Currency (Forex) Fraud Action to Pay Over $2 Million in Restitution and Civil Penalties
… and State of California Obtain Consent Order Settling Charges of Fraudulent Solicitation and Illegal Operation … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that the Honorable Jeffrey S. White, … September 1, 2006, arises out of a complaint filed by the CFTC and the Commissioner of Corporations of the State of …
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Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff
… Sanctioned for Failing to Supervise Its Compliance Staff CFTC Orders Online Broker to Give Up $175,000 in Commissions … D.C. – The U.S. Commodity Futures Trading Commission (CFTC) announced today the issuance of an order filing and simultaneously settling charges against Interactive Brokers LLC (IBL), a discount …
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Federal Court Orders Texas Resident Robert D. Watson to Pay $31 Million for Defrauding Customers, Misappropriating Millions of Dollars, and Providing Fictitious Records in Forex Scheme
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained federal court consent … Court for the Southern District of Texas, stem from a CFTC complaint filed in the same court on May 21, 2009, … off-exchange foreign currency (forex) scheme (see CFTC Press Release 5661-09 , May 26, 2009). One consent …
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Federal Court Orders California Resident Ghassan Tawachi and His Firm, Intelligent Trades, LLC, to Pay in Total Nearly $1.5 Million in Disgorgement and a Monetary Penalty for Defrauding Clients through a Bogus Commodity Futures Trading System
… Defendants Order also Finds that Tawachi Violated a 2012 CFTC Order that Prohibited Him from Commodity Futures … DC - The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court Consent Order for Permanent … Commodity Trading Advisor without being registered with the CFTC as required by the Commodity Exchange Act (CEA). The …
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2014-05465
… SUMMARY: The Commodity Futures Trading Commission (CFTC) is correcting final rules published in the Federal … Thomas Smith, Deputy Director, 202- 418-5495, tsmith@cftc.gov, or Mark Bretscher, Attorney-Advisor, 312- … funds maintained in the Account(s), or to impose such charges against us or any proprietary account maintained by …
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2014-05465
… SUMMARY: The Commodity Futures Trading Commission (CFTC) is correcting final rules published in the Federal … Thomas Smith, Deputy Director, 202- 418-5495, tsmith@cftc.gov, or Mark Bretscher, Attorney-Advisor, 312- … funds maintained in the Account(s), or to impose such charges against us or any proprietary account maintained by …
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2014-05465
… SUMMARY: The Commodity Futures Trading Commission (CFTC) is correcting final rules published in the Federal … Thomas Smith, Deputy Director, 202- 418-5495, tsmith@cftc.gov, or Mark Bretscher, Attorney-Advisor, 312- … funds maintained in the Account(s), or to impose such charges against us or any proprietary account maintained by …
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6 Steps to Take after Discovering Fraud
… arise with an individual or firm registered with the CFTC, customers can seek help through the CFTC Reparations Program or NFA arbitration process . The … at identitytheft.gov . Two Ways to Submit a Complaint to CFTC You can submit violations of the Commodity Exchange Act …
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Federal Court in New York Orders Chicago Resident and Former Floor Broker, Kent R.E. Whitney, to Pay $600,000 for Margin Call Avoidance Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order of permanent … to trade options without posting the required margin (see CFTC Press Release 5952-10 , December 10, 2010). The consent … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. The order finds that on …
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