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… currency contracts and commodity futures contracts. The CFTC seeks restitution to defrauded customers, disgorgement … further violations of the Commodity Exchange Act (CEA) and CFTC regulations. Case Background As alleged in the … None of these accounts are held or controlled by a CFTC-registered futures commission merchant or retail …
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… September 17, 2018 CFTC Charges Precious Metals Dealer and its Owner with Fraud … Washington, DC – The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District … CFTC Charges Precious Metals Dealer and its Owner with Fraud …
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… today issued an order simultaneously filing and settling charges against Lee Tippett , a former energy broker with … or engage in any activity requiring registration with the CFTC. “The CFTC will vigorously pursue and take action to stop … CFTC Charges Former Energy Broker with Paying Brokerage …
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… September 14, 2018 CFTC Settles Swap Reporting Charges with Natwest Markets Plc Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously … CFTC Settles Swap Reporting Charges with Natwest Markets Plc …
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… Mankad and his affiliated entities CTAX Series, LLC , a CFTC-registered commodity pool operator, and CTAX Partners, LLC , a CFTC-registered introducing broker , with fraudulent … also issued an order simultaneously filing and settling charges against Paul Ohanian , an SEC-registered investment …
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… issued an order today simultaneously filing and settling charges against XP Investments US, LLC (XP) , a New … to be kept under the Commodity Exchange Act (CEA) and CFTC regulations. The order requires XP to pay a $500,000 … cease and desist from any further violation of the CEA and CFTC regulations as charged. “Proper recordkeeping is vital …
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… against Ted Brent Alexander of Jackson, Mississippi. The CFTC action is based on a federal criminal indictment … and wire fraud. Alexander has been registered with the CFTC as a commodity trading advisor and associated person … Notice of Intent states that the relevant indictment charges Alexander with the commission of, or participation …
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… fraud, misappropriation, and failing to register with the CFTC as required. The complaint charges that the defendants solicited at least $2.1 million … to show profits. In its continuing litigation, the CFTC seeks restitution to defrauded individuals, … CFTC Charges Forex Trading Firm and Its Principal with Fraud …
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… funds intended for digital asset commodity trading. The CFTC’s complaint alleges Debiex’s unidentified officers … McGinley. In its continuing litigation against Debiex, the CFTC seeks restitution to defrauded customers, disgorgement … further violations of the Commodity Exchange Act (CEA) and CFTC regulations. Case Background As alleged in the …
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… accountable wherever in the world they are located,” said CFTC Director of Enforcement James McDonald. The CFTC complaint alleges that from at least 2015 to the … but failed to do so. In its continuing litigation, the CFTC seeks full restitution to defrauded clients, …
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