Displaying results 51 - 60 of 524
New York Federal Court Freezes Assets of Brian Kim and His New York Firm, Liquid Capital Management LLC
… Freezes Assets of Brian Kim and His New York Firm, Liquid Capital Management LLC CFTC charges Kim and Liquid Capital … litigation, the CFTC seeks disgorgement of ill-gotten gains, restitution to defrauded customers, civil monetary … a New York County Grand Jury returned an indictment against Kim and Liquid Capital. The CFTC thanks the NFA and …
CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme
… W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi … the CFTC seeks preliminary and permanent injunctions against the defendants, a return of ill-gotten gains, restitution to defrauded customers and civil monetary …
CFTC Charges Richard D. Theye and His Company, Micind Capital Management, Inc., with Fraud in Connection with a Multi-Million Dollar Ponzi Scheme
… 2010 CFTC Charges Richard D. Theye and His Company, Micind Capital Management, Inc., with Fraud in Connection with a … Texas, charging Richard D. Theye and his company, Micind Capital Management, Inc. , with fraud in connection with … the CFTC seeks restitution, disgorgement of ill-gotten gains, civil monetary penalties, trading and registration …
CFTC Charges Georgia Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and Misappropriation
… Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and … the filing of a federal court action on April 19, 2012, against the defendants, charging them with foreign currency … own funds.  In January 2012, NFA filed membership actions against Christy and Crabapple barring them from soliciting or …
CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation
… II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation … the U.S. District Court for the Middle District of Florida against Anthony J. Klatch II (Klatch), Lindsey Heim , and … the nature and extent of the permanent injunction entered against him in the CFTC’s prior civil action. According to …
CFTC Charges Archegos Capital Management and Three Employees with Scheme to Defraud Resulting in Swap Counterparty Losses Over $10 Billion
… U.S. District Court for the Southern District of New York against Archegos Capital Management, LP (Archegos) and its Chief Financial … two orders simultaneously filing and settling charges against two Archegos employees, William Tomita of Palm Beach, …
CFTC Charges Oregon-based System Capital, LLC and Joshua Wallace with Solicitation Fraud and Making False Statements to the National Futures Association
… November 24, 2010 CFTC Charges Oregon-based System Capital, LLC and Joshua Wallace with Solicitation Fraud and … Futures Trading Commission (CFTC) today charged System Capital, LLC of Lake Oswego, Ore., a registered Commodity … restitution to defrauded clients, a return of ill-gotten gains, civil monetary penalties, permanent registration and …
CFTC Charges Jeffery A. Lowrance and His Company, First Capital Savings and Loan, with Operating a Million Dollar Foreign Currency Ponzi Scheme
… CFTC Charges Jeffery A. Lowrance and His Company, First Capital Savings and Loan, with Operating a Million Dollar … and Exchange Commission, which filed a related action against Lowrance and FCSL in the Northern District of … litigation, the CFTC seeks disgorgement of ill-gotten gains, restitution, civil monetary penalties, trading and …
CFTC Charges Florida Resident Claudio Aliaga and His Company, CMA Capital Management, LLC, with Operating a Foreign Currency Ponzi Scheme
… Florida Resident Claudio Aliaga and His Company, CMA Capital Management, LLC, with Operating a Foreign Currency … Claudio Aliaga , of Davie, Fla., and his company, CMA Capital Management, LLC , of Miami Lakes, Fla., with … the CFTC seeks restitution, disgorgement of ill-gotten gains, civil monetary penalties, trading and registration …
CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer Montgomery, and Brian Reynolds with Commodity Pool Fraud
… March 13, 2012 CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer … action charging Colorado-based defendants Arjent Capital Markets LLC (Arjent), Chicago Trading Managers LLC … litigation, the CFTC seeks disgorgement of ill-gotten gains, civil monetary penalties, trading and registration …