Displaying results 911 - 920 of 2823
CFTC, 30 State Regulators Obtain Over $51 Million in Sanctions, Restitution for Victims in California Precious Metals Fraud
… for operating a nationwide, precious metals fraud. The CFTC obtained the order Sept. 30 in coordination with 30 … Association. “This resolution shows the impact the CFTC and state regulatory agencies have when joining forces … fraud and is a testament to the hard work of staff at the CFTC and our state regulator co-plaintiffs,” said Charles …
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CFTC Releases FY 2024 Enforcement Results
… cases – including its largest compliance case ever. The CFTC also continued to vigorously litigate pending actions, … in significant litigation victories and recoveries.  “The CFTC remains steadfast in its duties to protect customers … actions involving decentralized finance, filed and settled charges with companies acting as intermediaries to digital …
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CFTC Obtains $1.2M for Fraud Victims, $2.8M Overall From Florida Commodity Firm, Owner
… accounts, misled pool participants, and violated CFTC requirements on trade allocation, ultimately defrauding … permanently bars the defendants from registering with the CFTC or engaging in activities requiring registration and … trades to the pools, defrauding participants and violating CFTC requirements that customer trades be allocated fairly …
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CFTC Obtains Order for Over $5.5M Restitution for Victims in Commodity Pool Fraud by Tennessee Couple
… permanently bans them from trading and registering with the CFTC and prohibits further violations of the Commodity Exchange Act and CFTC regulations, as charged. “This case is a stark warning … and anyone you bring along.” The consent order resolves a CFTC enforcement action filed in July 2023 [See CFTC Press …
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History of the CFTC
… History of the CFTC CFTC History in the 1990s Pre-CFTC // 1970s // 1980s // … against Fenchurch Capital Management Inc. of Chicago, on charges of market manipulation and cornering of the … CFTC History in the 1990s Pre-CFTC // 1970s // 1980s // … against Fenchurch Capital Management Inc. of Chicago, on charges of market manipulation and cornering of the …
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CFTC CHARGES FORMER HEAD OF NATURAL GAS TRADING DESK AT AEP ENERGY SERVICES, INC. WITH ATTEMPTED MANIPULATION AND FALSE REPORTING; Joseph P. Foley Allegedly Directed the Submission of Thousands of False Reports About Natural Gas Trades to Skew Natural Gas Indexes
… CFTC CHARGES FORMER HEAD OF NATURAL GAS TRADING DESK AT AEP …
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CFTC CHARGES CONNECTICUT MAN AND HIS COMPANY WITH BILKING COMMODITIES INVESTORS IN FRAUDULENT POOL SCHEME; Burton Friedlander and Friedlander Capital Management Corporation Allegedly Misappropriated More than $1.3 Million to Pay for Boats, Cars, Country Club Dues, and Legal Expenses
… CFTC CHARGES CONNECTICUT MAN AND HIS COMPANY WITH BILKING …
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CFTC FINDS THAT COLORADO TRADING ADVISOR USED WEBSITE TO MISLEAD PUBLIC ABOUT PROFITABILITY OF COMMODITY FUTURES TRADING SYSTEMS AND SERVICES; Respondents Roy M. Sidewitz and Qi2 Technologies, Inc. Settle Charges That They Made False Claims About Commodity Futures Products and Services
… CFTC FINDS THAT COLORADO TRADING ADVISOR USED WEBSITE TO … Roy M. Sidewitz and Qi2 Technologies, Inc. Settle Charges That They Made False Claims About Commodity Futures …
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MARYLAND MAN AND FIRM SETTLE CHARGES OF FRAUD WITH CFTC; Consent Order issued by District Court Enjoins Defendants Peter Scott and Rothlin & Windsor Capital Management, Inc. from Committing Fraud and also Permanently Bars Defendants from trading in futures and options
… MARYLAND MAN AND FIRM SETTLE CHARGES OF FRAUD WITH CFTC; Consent Order issued by District …
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History of the CFTC
… History of the CFTC CFTC History in the 1970s Pre-CFTC // 1970s // 1980s // … an extensive investigation, the CFTC brings manipulation charges against both the long and short position holders. … CFTC History in the 1970s Pre-CFTC // 1970s // 1980s // … an extensive investigation, the CFTC brings manipulation charges against both the long and short position holders. …
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