Displaying results 81 - 90 of 127
CFTC Charges California Resident Scott Allensworth, His Company E-Slate, Inc., Nevada Resident Robert J. Fusco, and Kentucky Resident David Weddle with Fraud, Misappropriation, and Registration Violations
… under seal, charges Defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra Development Group … 2017 on the CFTC’s motion seeking a preliminary injunction against Allensworth, Fusco, and E-Slate. CFTC’s Director of … and business relationships being exploited for fraudulent gain. Sadly, as is so often the case, fraudsters take …
CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his Connecticut-based Firms for Misappropriation of Customer Funds and Fraudulent Solicitation in Ponzi Scheme
… 30, 2016 CFTC Obtains $21.8 Million Default Judgment against Former CBOE Member Alvin Guy Wilkinson and his … an Order of default judgment and permanent injunction against Defendants Alvin Guy Wilkinson of San Juan, Puerto … funds, or used them to pay earlier investors as a return of capital and purported profits in the manner of a Ponzi …
CFTC Settles Foreign Currency (Forex) Fraud Action against Emerald Worldwide Holdings, Inc. and Jian Zhuang
… Commission Settles Foreign Currency (Forex) Fraud Action against Emerald Worldwide Holdings, Inc. and Jian Zhuang … order of permanent injunction settling the CFTC’s action against Emerald Worldwide Holdings, Inc. (Emerald), of City … relief defendants Lynnwood Jen , Esther Pranolo , and ACE Capital Advisory Group, Inc . This order requires Jen to …
CFTC Issues Notice of Temporary Registration as a Swap Execution Facility to GTX SEF, LLC
… company, and an indirect wholly-owned subsidiary of Gain Capital Holdings, Inc., a publicly-traded company. GTX will …
Customer Alert Regarding CFTC v. Brisco
… to a civil enforcement action it filed on January 30 against Marcus Todd Brisco and others. Customers should … District of Texas, charging fraud and misappropriation against defendants Marcus Todd Brisco , Yas Castellum LLC , … Story , Fredirick Safranko a/k/a Ted Safranko , SAEG Capital General Management LP , and Michael Shannon Sims . …
CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements and Operating as an Unregistered Commodity Pool Operator
… June 12, 2013 CFTC Files Enforcement Action against Arizona Resident for Issuing False Account Statements … (CFTC) today announced the filing of a civil complaint against Thomas L. Hampton, an Arizona resident. The CFTC’s … while acting as an unregistered CPO, operated Hampton Capital Markets, LLC, an Arizona limited liability company, …
CFTC Settles Introducing Broker Fraudulent Solicitation Lawsuit with Florida-Based FCM Guarantors National Commodities Corporation, Inc., and International Commodity Clearing LLC
… Commission (CFTC) announced today that it settled charges against registered Futures Commission Merchants (FCMs) … be relied upon to meet the CFTC’s alternative adjusted net capital requirement for IBs. As alleged, NCCI and ICC both … defrauded customers and disgorgement of ill-gotten gains. The consent order against NCCI and ICC requires that, …
CFTC Charges North Carolina Companies and Their Owners in $1 Million Foreign Currency Fraud and Misappropriation Scheme
… and Elijah Bryant, III   of Los Angeles, California and CapitalStorm, LLC, GenerationBlack, LLC and NCome, LLC , all … to defrauded investors, disgorgement of ill-gotten gains, civil monetary penalties, permanent registration and trading bans, and a permanent injunction against future violations of the Commodity Exchange Act (CEA) …
CFTC Grants Registration to 3 Swap Execution Facilities
… company and an indirect wholly-owned subsidiary of Gain Capital Holdings, Inc., a publicly-traded company. FTSEF is …
CFTC Charges Unregistered Forex Trading Firm and Its Principal with Fraud and Misappropriation
… enforcement action in the Southern District of New York against defendants Dominick Vincent Carducci and his company VOS Capital Management, LLC (VOS Capital), both of South … participants’ investments. In its continuing litigation against the defendants, the CFTC seeks disgorgement of …