Displaying results 981 - 990 of 2823
ILLINOIS FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST FTI FINANCIAL GROUP AND THREE OF ITS PARTNERS IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; Court Permanently Bars FTI And Samuel Foreman, Mark Stevens, and Carolyn Munn From Trading, Seeking Registration or Acting in Any Capacity Requiring Registration with the CFTC and Requires Them to Pay in Excess of $700,000 in Restitution
… AGAINST FTI FINANCIAL GROUP AND THREE OF ITS PARTNERS IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; Court … or Acting in Any Capacity Requiring Registration with the CFTC and Requires Them to Pay in Excess of $700,000 in …
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FLORIDA COURT ENTERS ORDER OF DEFAULT AND PERMANENT INJUNCTION AGAINST EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD.; TORTOLA CORPORATION COMPANY, LTD.; INTERNATIONAL INVESTMENT GROUP, LTD.; AND RICHARD TICHY IN CFTC ENFORCEMENT ACTION CHARGING COMMODITY POOL FRAUD;  Order Requires Defendants to Pay in Excess of $10 Million in Restitution and Civil Monetary Penalties
… INTERNATIONAL INVESTMENT GROUP, LTD.; AND RICHARD TICHY IN CFTC ENFORCEMENT ACTION CHARGING COMMODITY POOL FRAUD;  …
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CFTC AND STATE OF NEW HAMPSHIRE BRING SALES FRAUD CLAIMS AGAINST FLORIDA TRADING FIRM CROMWELL FINANCIAL SERVICES, INC. AND OTHERS; Complaint by U.S. Commodity Futures Trading Commission and the New Hampshire Secretary of State, Bureau of Securities Regulation, Charges Cromwell Financial Services, Inc. and Certain Employees with Defrauding Customers and Failure to Supervise
… CFTC AND STATE OF NEW HAMPSHIRE BRING SALES FRAUD CLAIMS … Secretary of State, Bureau of Securities Regulation, Charges Cromwell Financial Services, Inc. and Certain …
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MIRANT AMERICAS ENERGY MARKETING, L.P. SETTLES FEDERAL CHARGES OF FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Imposes Civil Penalty of $12.5 Million and Orders Energy Firm to Cease and Desist from Further Violations; Respondent Found to Have Knowingly Made False Reports to <i>Gas Daily</i>, <i>Inside FERC</i> and <i>Natural Gas Intelligence</i>
… MIRANT AMERICAS ENERGY MARKETING, L.P. SETTLES FEDERAL CHARGES OF FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Imposes Civil Penalty of $12.5 Million and Orders …
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Keynote Remarks at ISDA 40th Annual General Meeting
… Exchange Act, the Commodity Futures Trading Commission’s (CFTC) authorizing statute, presciently envisioned that a … jurisdictions with speed and force. In this context, the CFTC is centrally overseeing, directly and through … Capital Rule (Regulation Q): Risk-Based Capital Surcharges for Global Systemically Important Bank Holding …
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Federal Court Orders Melissa C. Rushton to Pay $50,000 to Settle Charges Pertaining to Her Husband’s Fraudulent Operation of Summit Trading & Capital LLC
… Court Orders Melissa C. Rushton to Pay $50,000 to Settle Charges Pertaining to Her Husband’s Fraudulent Operation of … DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a federal court order … Court for the Central District of Illinois, stems from a CFTC enforcement action filed November 29, 2011 against …
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U.S. Commodity Futures Trading Commission Charges Illinois Resident Anthony A. Demasi and His Company, Tsunami Capital, LLC, with Fraud
… May 1, 2007 U.S. Commodity Futures Trading Commission Charges Illinois Resident Anthony A. Demasi and His Company, Tsunami Capital, LLC, with Fraud CFTC Obtains Federal Court Order Freezing Assets and … D.C. — The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a complaint in the U.S. …
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CFTC Orders Taiwanese Firm to Pay $200,000 for Wash Sales
… Commission today issued an order filing and settling charges against Taishin Securities Co., Ltd. , a Taiwanese … from further violations of the Commodity Exchange Act and CFTC regulations, as charged. Case Background According to … CFTC Orders Taiwanese Firm to Pay $200,000 for Wash Sales …
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CFTC Commissioner Christy Goldsmith Romero to Step Down from the Commission and Retire from Federal Service
… the Department of the Treasury, it has been a joy to be a CFTC Commissioner and serve alongside my fellow Commissioners and the CFTC staff.  History has shown how sound regulation plays a … fraud in banks.  SIGTARP investigations led to criminal charges against 465 defendants (including 75 bankers …
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Federal Court Issues Preliminary Injunction against Jay Nolan and His Company, Lodge Capital Group, LLC, Charged with Commodity Pool Fraud
… DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a preliminary … Lodge Capital Group, LLC , based in Northfield, Ill. The CFTC charged the defendants in January, 2010, with … approximately $3.9 million from at least 5 individuals (see CFTC Press Release 5779-10, January 29, 2010, and CFTC v. …
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