Displaying results 471 - 480 of 2823
CFTC Charges South Florida Resident and His Firm for Operating a $9.8 Million Commodity Futures and Options Fraud
… Wellington, Florida.  The court’s order arises out of the CFTC’s complaint filed on January 18, 2022. The complaint … further alleges that the defendants failed to comply with CFTC registration requirements and disclosure and reporting … CFTC Charges South Florida Resident and His Firm for …
Created on:
CFTC Charges Charlotte, North Carolina Couple Sidney and Charlotte Hanson and their Companies with Operating a $22.5 Million Foreign Currency Ponzi Scheme
… Release: 5689-09 For Release: August 7, 2009 CFTC Charges Charlotte, North Carolina Couple Sidney and … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it charged Sidney S. Hanson , … CFTC Charges Charlotte, North Carolina Couple Sidney and …
Created on:
CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to Settle Charges of Supervision Failures and Recordkeeping Violations
… September 22, 2017 CFTC Orders Merrill, Lynch, Pierce, Fenner & Smith Incorporated to Pay $2.5 Million to Settle Charges of Supervision Failures and Recordkeeping Violations … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously …
Created on:
CFTC Charges Texas Commodity Broker with Fraud; CFTC Alleges that D. Michael Sheaves Fraudulently Omitted Significant Trading Losses
… CFTC Charges Texas Commodity Broker with Fraud; CFTC Alleges that D. Michael Sheaves Fraudulently Omitted …
Created on:
CFTC Charges Patrick K. McDonnell and His Company CabbageTech, Corp. d/b/a Coin Drop Markets with Engaging in Fraudulent Virtual Currency Scheme
… January 19, 2018 CFTC Charges Patrick K. McDonnell and His Company CabbageTech, … Washington, DC  – The Commodity Futures Trading Commission (CFTC) on January 18, 2018, filed a federal civil enforcement … CFTC Charges Patrick K. McDonnell and His Company CabbageTech, …
Created on:
CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees
… July 11, 2019 CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges … CFTC Orders ADM Investor Services Inc. to Pay a $250,000 …
Created on:
CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees
… July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees  … Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges … CFTC Orders Vision Financial Markets LLC to Pay a $200,000 …
Created on:
CFTC Sanctions Hedge Fund EMF Financial Products, LLC $4 Million to Settle CFTC Charges that EMF Made False Statements Concerning Its Market Positions to the Chicago Board of Trade
… Release: 5751-09 For Release: November 13, 2009 CFTC Sanctions Hedge Fund EMF Financial Products, LLC $4 Million to Settle CFTC Charges that EMF Made False Statements Concerning Its Market … CFTC Sanctions Hedge Fund EMF Financial Products, LLC $4 Million to Settle CFTC Charges that EMF Made False Statements Concerning Its Market …
Created on:
CFTC Charges Florida-Based Palm Beach Capital LLC and Lawrence Scott Spain with Engaging in Illegal, Off-Exchange Precious Metals Transactions
… May 15, 2014 CFTC Charges Florida-Based Palm Beach Capital LLC and Lawrence … DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil injunctive … Scott Spain , of Boca Raton, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, …
Created on:
CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management with Commodity Pool Ponzi Scheme Fraud, Misappropriation and Issuing False Customer Reports
… September 21, 2010 CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management … DC – The U.S. Commodity Futures Trading Commission (CFTC) today charged Joseph L. Autry, Jr. and his company, … CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management …
Created on: