Displaying results 961 - 970 of 2823
Dubai-Based Aaristo Commodities and Futures DMCC Ordered to Pay $100,000 Penalty Related to Charges of Engaging in Illegal Trades
… and Futures DMCC Ordered to Pay $100,000 Penalty Related to Charges of Engaging in Illegal Trades Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $100,000 civil … commodity futures transactions. The order stems from a CFTC complaint filed on April 5, 2007 (see CFTC Press …
Created on:
Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges that He Defrauded Commodity Options Customers
… of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges that He Defrauded Commodity Options Customers … Washington, DC – The Commodity Futures Trading Commission (CFTC) announced today that it settled fraud charges against … District of Florida, stems from a complaint filed by the CFTC on September 21, 2004, alleging that LFTC, its …
Created on:
CFTC Orders Tradition SEF LLC to Pay $875,000 for System Safeguards Violations and Failing to Provide Records Promptly During CFTC Examination
… Commission today announced an order filing and settling charges against Tradition SEF LLC (TSEF), a registered swap … “Today’s enforcement action represents two firsts for the CFTC—the first action charging a SEF with system safeguards … safeguards requirements in the Commodity Exchange Act and CFTC regulations. The order finds TSEF did not adequately …
Created on:
U.S. COMMODITY FUTURES TRADING COMMISSION SETTLES CHARGES AGAINST FIVE INDIVIDUALS FOR TAKING PART IN ARTIFICIAL TRADING SCHEME; CFTC Order Finds That Illinois Residents Daniel J. Collins, Thomas M. Gianos, Bernard Miraglia and John R. Wade, and Wisconsin Resident Edward M. Collins Participated in Illegal Transfer Trades During the 1980s
… U.S. COMMODITY FUTURES TRADING COMMISSION SETTLES CHARGES AGAINST FIVE INDIVIDUALS FOR TAKING PART IN ARTIFICIAL TRADING SCHEME; CFTC Order Finds That Illinois Residents Daniel J. Collins, …
Created on:
CALIFORNIA FOREIGN CURRENCY (FOREX) FIRM SUED FOR DEFRAUDING INVESTORS OUT OF APPROXIMATELY $2 MILLION IN COMMODITY SCAM; CFTC Charges FX First, Inc., Alexey Mironov, and William Whyte With Commodity Scam In Foreign Currency Futures; Federal District Court Judge Orders Defendants' Assets Frozen and Issues Preliminary Injunction
… OUT OF APPROXIMATELY $2 MILLION IN COMMODITY SCAM; CFTC Charges FX First, Inc., Alexey Mironov, and William Whyte …
Created on:
U.S. Commodity Futures Trading Commission Charges Slovak Republic Citizen, Maros Miklas, with Electronic Trading Fraud
… 20, 2007 U.S. Commodity Futures Trading Commission Charges Slovak Republic Citizen, Maros Miklas, with … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of an administrative enforcement … futures, in violation of the federal commodity laws. The CFTC’s complaint alleges that Miklas became acquainted with …
Created on:
Customer Alert Regarding CFTC v. Traders Domain FX Ltd
… voluntary confidential customer survey , which will provide CFTC with pertinent information on this case. Completion of … and Archie Rice. [Civil Action No. 24-cv-23745-RKA] [See CFTC Press Release No. 8997-24 ] In its continuing litigation, the CFTC seeks full restitution to defrauded customers, …
Created on:
U.S. Commodity Futures Trading Commission Charges Chicago Resident Peter D. Hoffman with Defrauding Commodity Futures Customers
… November 30, 2006 U.S. Commodity Futures Trading Commission Charges Chicago Resident Peter D. Hoffman with Defrauding … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a civil action on … Advisor (CTA), and violating an order entered by the CFTC against him in In the Matter of Peter D. Hoffman, 1823 …
Created on:
U.S. Commodity Futures Trading Commission Settles Action Charging NRG Energy Inc. with Falsely Reporting Natural Gas Trades
… D.C. — The U.S. Commodity Futures Trading Commission (CFTC) announced today that the U.S. District Court for the … NRG to pay a $2 million civil monetary penalty to settle CFTC’s charges that NRG knowingly reported false information …
Created on:
Velocity Futures, LLC Agrees to Pay a $300,000 Penalty to Settle Charges that It Failed to Comply with Its Minimum Financial Requirements
… Futures, LLC Agrees to Pay a $300,000 Penalty to Settle Charges that It Failed to Comply with Its Minimum Financial … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously … that it improperly classified as a subordinated loan. Under CFTC Rules, proceeds from a subordinated loan may be …
Created on: