Displaying results 611 - 620 of 2823
CFTC Charges Pennsylvania Resident Michael Salerno and his Entities with Solicitation Fraud and Misappropriation in Connection with Retail Forex Transactions in Violation of the Commodity Exchange Act
… April 25, 2018 CFTC Charges Pennsylvania Resident Michael Salerno and his … Washington DC - The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action charging Defendants … CFTC Charges Pennsylvania Resident Michael Salerno and his …
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CFTC Charges LA Commodity Firm with Fraud; CFTC Alleges That Madison Financial Group Told Salesmen To "Make Up A Story" To Solicit Customers,
… CFTC Charges LA Commodity Firm with Fraud; CFTC Alleges That Madison Financial Group Told Salesmen To …
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CFTC SETTLES RECORDKEEPING CHARGES WITH CARR FUTURES INC.; CFTC Alleges that Carr Futures Failed to Retain and Produce Cancelled and Unfilled Floor Orders
… CFTC SETTLES RECORDKEEPING CHARGES WITH CARR FUTURES INC.; CFTC Alleges that Carr Futures Failed to Retain and Produce …
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PRUDENTIAL SECURITIES, INC. SETTLES CFTC RECORDKEEPING CHARGES; CFTC Orders Prudential Securities, Inc. to Pay $65,000 Civil Monetary Penalty
… PRUDENTIAL SECURITIES, INC. SETTLES CFTC RECORDKEEPING CHARGES; CFTC Orders Prudential Securities, Inc. to Pay $65,000 Civil …
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Five Current and Former Coral Energy Traders Settle CFTC Charges for False Reporting and Attempted Manipulation in Natural Gas Market; Defendants Ordered to Pay $1 Million Penalty
… 9, 2007 Five Current and Former Coral Energy Traders Settle CFTC Charges for False Reporting and Attempted Manipulation in … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that a federal court in Houston, Texas … Five Current and Former Coral Energy Traders Settle CFTC Charges for False Reporting and Attempted Manipulation …
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CFTC Charges California Resident Hannes Tulving, Jr., through his company, The Tulving Company, Inc., with Misappropriation and Fraudulent Solicitation in a $17.8 Million Precious Metals Scheme
… September 11, 2015 CFTC Charges California Resident Hannes Tulving, Jr., through his … DC — The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil Complaint against Defendants … CFTC Charges California Resident Hannes Tulving, Jr., through his …
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CFTC Charges Ohio Resident John R. Bullar and his Company, Executive Management Advisors L.L.C., with Fraud and Embezzlement in Operating an $8.3 Million Commodity Pool and Ponzi Scheme
… September 23, 2014 CFTC Charges Ohio Resident John R. Bullar and his Company, … DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a federal civil enforcement action in the … CFTC Charges Ohio Resident John R. Bullar and his Company, …
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CFTC Charges Florida Resident Dorian A. Garcia and his Companies, DG Wealth Management, Macroquantum Capital LLC, and UKUSA Currency Fund LP with Fraud and Registration Violations
… April 20, 2015 CFTC Charges Florida Resident Dorian A. Garcia and his Companies, … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Sheri Polster Chappell of the … CFTC Charges Florida Resident Dorian A. Garcia and his Companies, …
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CFTC Amends Its Net Capital Rule to Eliminate the Short Option Value Charge Against the Capital of an FCM
… CFTC Amends Its Net Capital Rule to Eliminate the Short …
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Virginia-Based Financial Investments, Inc. Ordered to Pay $130,000 Fine to Settle CFTC Charges of Repeatedly Failing to File Commodity Pool Annual Reports on Time
… Investments, Inc. Ordered to Pay $130,000 Fine to Settle CFTC Charges of Repeatedly Failing to File Commodity Pool Annual … DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Financial Investments, Inc. (FII) … Investments, Inc. Ordered to Pay $130,000 Fine to Settle CFTC Charges of Repeatedly Failing to File Commodity Pool …
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