Displaying results 881 - 890 of 2823
CFTC FINES FLOOR BROKER FOR UNLAWFULLY TRADING CRUDE OIL FUTURES CONTRACTS; Robert Benjamin Harmon, Jr. Settles Charges that He Engaged in Wash Sales, Reported Non-Bona Fide Prices, and Executed Non-competitive Trades
… CFTC FINES FLOOR BROKER FOR UNLAWFULLY TRADING CRUDE OIL FUTURES CONTRACTS; Robert Benjamin Harmon, Jr. Settles Charges that He Engaged in Wash Sales, Reported Non-Bona …
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GEORGIA CORPORATION AND TWO INDIVIDUALS CHARGED WITH FRAUDULENTLY OFFERING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Global Financial Consulting, Inc., Wook Hyun Kim, and Chang H. Lee
… ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Global …
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NEW YORK COMMODITY BROKER CHARGED WITH ILLEGAL TRADING AND VIOLATION OF A COMMISSION ORDER; CFTC Alleges Branch Manager Patrick Ligammari Engaged in Non-Competitive Trading To Facilitate the Transfer of Over $300,000 Between Two Foreign Accounts
… WITH ILLEGAL TRADING AND VIOLATION OF A COMMISSION ORDER; CFTC Alleges Branch Manager Patrick Ligammari Engaged in …
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARL DEAN DIXON, CHARGING THAT HE COMMITTED COMMODITY FRAUD AND FAILED TO REGISTER AS A COMMODITY TRADING ADVISOR; CFTC Alleges that Dixon Made Misrepresentations and Deceptive Statements and Provided False Reports in Connection With His Fraudulent Solicitation of, and Advice to, Students of His Futures Trading Course
… CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARL DEAN DIXON, … AND FAILED TO REGISTER AS A COMMODITY TRADING ADVISOR; CFTC Alleges that Dixon Made Misrepresentations and …
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CFTC FILES FRAUD CHARGES AGAINST A NORTH CAROLINA FOREIGN CURRENCY TRADER AND HIS FIRM, WHO SOLICITED $1.2 MILLION FROM RETAIL INVESTORS; CFTC Alleges that Defendants James Darren Moore and JDM Investments Concealed Trading Losses of Almost $500,000 by Issuing False Account Statements to Customers
… CFTC FILES FRAUD CHARGES AGAINST A NORTH CAROLINA FOREIGN CURRENCY TRADER AND … HIS FIRM, WHO SOLICITED $1.2 MILLION FROM RETAIL INVESTORS; CFTC Alleges that Defendants James Darren Moore and JDM …
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CFTC CHARGES UNITED KINGDOM CORPORATION AND ITS TWO PRINCIPALS WITH SALE OF ILLEGAL OFF-EXCHANGE FUTURES CONTRACTS TO U.S. INVESTORS; CFTC Alleges that E Net Speculation Ltd., Patrice Cornaz, and Athos Socratous Illegally Solicit U.S. Investors Via the Internet to Trade Commodity Futures Contracts through a Foreign Website
… CFTC CHARGES UNITED KINGDOM CORPORATION AND ITS TWO PRINCIPALS … ILLEGAL OFF-EXCHANGE FUTURES CONTRACTS TO U.S. INVESTORS; CFTC Alleges that E Net Speculation Ltd., Patrice Cornaz, …
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FOIA Reference Guide
… Information The US Commodity Futures Trading Commission (CFTC or Commission) was created by Congress in 1974 as an … and fraud. Through effective oversight and regulation, the CFTC enables the markets to serve better their important … of Requesters Commercial Use Requester . The Commission charges fees for search time, review time, and duplication …
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR BROKERS, CHARGING THEM WITH FRAUDULENTLY EXECUTING GOLD OPTIONS TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and Philip Selby and Files An Administrative Complaint Against Timothy Murphy and Vincent Coppola
… CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR … TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and …
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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST BRIAN TOBLER, OF SYRACUSE, UTAH, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF THREE COMMODITY POOLS; Court Permanently Bars Tobler From Seeking Registration Or Acting In Any Capacity Requiring Registration With The CFTC and Prohibits Him From Trading For Ten Years
… INJUNCTION AGAINST BRIAN TOBLER, OF SYRACUSE, UTAH, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF … Or Acting In Any Capacity Requiring Registration With The CFTC and Prohibits Him From Trading For Ten Years …
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CFTC CHARGES NEW YORK FIRM FIRST LIBERTY GROUP AND ITS PRESIDENT, MAURICIO DA SILVA, WITH STEALING MILLIONS IN FOREIGN CURRENCY SCAM; U.S. District Court Judge Freezes Defendants' Assets and Prohibits Defendants from Destroying Documents
… CFTC CHARGES NEW YORK FIRM FIRST LIBERTY GROUP AND ITS PRESIDENT, …
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