Displaying results 111 - 120 of 525
… Posted Profits, While Losing Millions in Phidippides Capital Hedge Fund Washington, DC – The Commodity Futures … (CFTC) announced that today it filed an enforcement action against Mark S. Trimble , of Edmond, Oklahoma, and his … seeks civil monetary penalties, disgorgement of ill-gotten gains, restitution to defrauded customers, and injunctive …
… U.S. District Court for the Eastern District of New York against two affiliated precious metals dealers located in Los Angeles, California, Fisher Capital LLC and AMS Consulting Solutions LLC d/b/a Fisher … led victims to believe. In its continuing litigation against the defendants, the CFTC seeks the return of …
… to defrauded pool participants, disgorgement of ill-gotten gains, civil monetary penalties, permanent registration and trading bans, and permanent injunctions against further violations of the Commodity Exchange Act … at least February 28, 2021, by and through Infinity Q Capital Management, LLC (Infinity Q), the company he …
… That Alexsander Efrosman, Century Maxim Fund, Inc., and AJR Capital Inc. Fraudulently Solicited Customers to Trade … announced today that it filed a federal injunctive action against Alexsander Efrosman, a/k/a Alex Besser , of Staten … civil monetary penalties, and disgorgement of ill-gotten gains. The following CFTC Division of Enforcement staff …
… central banks came together to agree on common changes to capital requirements. And as many of you know, in 2009 the … whether, under what circumstances, and to what extent, gains-based haircutting is an appropriate tool to allocate … measures—almost an oxymoron, if you will—or gains-based haircutting, which is also a mouthful. I won’t …
… processors and other end-users of commodities can once again hedge their price risks without fear of their funds … responsibility for overseeing the FCM’s compliance with the capital, segregation and financial reporting obligations … the Commission could file an enforcement action against corporate entities and/or individuals who have …
… 9, 2009 CFTC Charges North Carolina Foreign Currency Firm CapitalStreet Financial LLC and its Principal Sean F. … funds. Defendants also directed funds to relief defendant Gaincapital, Inc. , a company owed by Mescall . Neither … entitlement to any CSF customer funds. (Relief defendant Gaincapital is not related to GAIN Capital Group, LLC, a …
… Social and Governance (ESG) Investing ESG investing has gained popularity with investors over time. Investors may … futures throughout the day in the hope that their positions gain value for the seconds or minutes they hold the shares … stock in heavily-promoted companies with smaller market capitalizations . Day trading is extremely risky and can …
… 2002, I taught derivatives, risk management, and private capital market finance at George Mason University, and … a portfolio as a more traditional investment vehicle has gained increased standing, but this concept is not without … believe that the government will guarantee or protect them against losses, their incentive to monitor their own behavior …
… in Illinois Orders Approximately $500 Million in Sanctions against Defendant Nikolai S. Battoo and His Three Companies … District of Illinois entered an Order of Default Judgment against Defendants Nikolai S. Battoo , BC Capital Group S.A. , BC Capital Group International Limited …