Displaying results 2391 - 2400 of 2823
Commodity Futures Trading Commission’s Technology Advisory Committee to Meet October 12, 2010
… the Flash Crash. Washington, DC – The second meeting of the CFTC’s Technology Advisory Committee (TAC), titled … Act,” will be held on October 12, 2010 at 1:00 p.m., at the CFTC’s Washington, DC headquarters’ Hearing Room. The TAC … Andrei Kirilenko, a Senior Financial Economist in the CFTC’s Office of the Chief Economist, will summarize the May …
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Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool Scheme
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court supplemental Consent Order requiring CFTC Defendant Mitchell Brian Huffman , of Charlotte, North … with exchange-traded commodity futures contracts (see CFTC Press Release 6183-12 , February 17, 2012). In an …
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Federal Court Orders California Forex Firm and Its Owners to Pay Over $4 Million for Pool Fraud and Registration Violations
… company Denari Capital, LLC (Denari) to resolve a CFTC action filed on November 5, 2019. [See CFTC Press Release No. 8073-19 ]. The order finds all three … (forex) pool fraud and failing to register with the CFTC as a commodity pool operator and associated persons as …
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External Meetings: Conference Call with Community and Regional Banks
… the commenters asserted that Congress did not limit the CFTC to a $10 billion asset test.  Instead, they advocated … swaps in the United States.  It was suggested that the CFTC should raise the asset level and add other additional …
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Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling More Than $14,000,000
… D.C .— The U.S. Commodity Futures Trading Commission (CFTC) announced today that the Honorable George Daniels of … code-named “Operation Wooden Nickel” conducted by the CFTC, the Federal Bureau of Investigation, the Department of … Penalty, and Other Equitable Relief settling the CFTC’s charges against John Messina , also a New York resident. The …
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Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets
… diligently TFS-ICAP broker conduct. The order resolves the CFTC enforcement action filed on September 28, 2018. [See CFTC Press Release No. 7816-18 ] Defendants Dibb and … registration or claim exemptions from registration with the CFTC in any capacity, or engage in any activity requiring …
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Federal Court in Florida Orders Capital Blu Management, LLC, Donovan Davis Jr., Damien Bromfield, Blayne Davis and DD International Holdings, LLC to Pay More than $17 Million for Committing Fraud
… DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable Judge John Antoon … activity, including trading and registering with the CFTC. The order follows a verdict returned on February 3, … and arguments for almost three weeks. In 2009, the CFTC charged the defendants with operating a fraudulent …
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Georgia Man Sanctioned for Fraudulent Scheme Attempting to Profit from COVID-19
… unlawful commodity pool, and failure to register with the CFTC. The court’s order requires Ramos to pay $27,556 in … in conduct that violates the Commodity Exchange Act and CFTC regulations, registering with the CFTC, and trading in any CFTC-regulated markets. Case …
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Federal Court Orders Convict Perry Jay Griggs and His Wife to Pay $2.1 Million Civil Penalty for Multi-Million Dollar Commodity Pool Fraud and Misappropriation
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court consent order requiring … pay a $2.1 million civil monetary penalty to settle CFTC charges that they operated a multi-million dollar …
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External Meetings: Conference Call with Community and Regional Banks
… the commenters asserted that Congress did not limit the CFTC to a $10 billion asset test.  Instead, they advocated … swaps in the United States.  It was suggested that the CFTC should raise the asset level and add other additional …
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