Displaying results 101 - 110 of 395
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 …
Commissioner Quintenz to Speak on a Panel at the National Association of Attorneys General Capital Forum
...Commissioner Quintenz to Speak on a Panel at the National Association of Attorneys General Capital Forum  WHAT: Commissioner Brian Quintenz will speak on the panel, Current Issues in Cryptocurrency, at the National Association of Attorneys General (NAAG) Capital Forum WHEN: Wednesday, December 11, 2019 11:15 a.m. –…
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 …
e8-2641
... [Federal Register: February 13, 2008 (Volume 73, Number 30)] [Notices] [Page 8295-8296] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr13fe08-49…
CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related Supervision Failures
... August 6, 2015 CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetary Penalty for Violations of Customer Protection Rule for Cleared Swaps and Related…
CFTC Orders Mizuho Securities USA Inc. to Pay $175,000 to Settle CFTC Charges of Secured Fund Deficiencies and Supervision Failures
… its employees by failing to provide adequate employee training regarding their obligations to comply with …