Displaying results 41 - 50 of 90
California Court Orders Gilbert Philip Castillo, Jr. and Castle Enterprise Corporation to Pay More than $800,000 in Disgorgement and $480,000 in Civil Penalties for Fraud by an Unregistered Commodity Trading Advisor
… services for managed account programs, trading systems, and training courses. These commodity advisory services …
CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures
... August 4, 2016 CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures Firm’s Supervisory Failures over Exchange and Clearing Fee Processing Led to Customer Overcharges at Times Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Capital, Inc. (Barclays), a…
CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures
… finds that BTMU revised its policies, updated its training, and implemented electronic systems to identify …
CFTC Sanctions Rosenthal Collins Group for Supervision Violations
… Finally, the Order finds that RCG did not provide adequate training on its company policies to this Memphis office …
CFTC Charges California Resident Gilbert Philip Castillo, Jr., and His Company, Castle Enterprise Corporation, with Fraud
… clients were abandoned after purchasing trading systems or training courses, receiving little or nothing of value and …
CFTC Orders Hong Kong-Based Huafu HK Co. Ltd. to Pay $225,000 for Reporting Violations
… that Huafu will undertake to provide its employees with training to ensure future compliance with CFTC requirements …
CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty
... April 9, 2013 CFTC Orders Connecticut-based Interactive Brokers LLC, a Registered Futures Commission Merchant, to Pay a $225,000 Civil Monetary Penalty Firm failed…
CFTC Orders Morgan Stanley Capital Group Inc. to Pay $1.5 Million for Spoofing in the Precious Metals Futures Markets 
… and to take specified steps to implement and strengthen its training, systems, and controls to detect and deter spoofing …
CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets
… and to take specified steps to maintain and implement training programs and systems and controls to detect and …
CFTC Orders Singapore-Based Agrocorp International Pte Ltd. to Pay $150,000 for Call Cotton Reporting Violations
… states that Agrocorp will provide its employees with training to ensure further compliance with CFTC …