Showing posts with label CFTC. Show all posts
Showing posts with label CFTC. Show all posts
Friday, April 17, 2015

CFTC CHARGES COMPANY AND PRINCIPALS WITH POOL FRAUD

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FROM:  COMMODITY FUTURES TRADING COMMISSION  March 31, 2015 CFTC Charges Maverick International, Inc. and its Principals Wesley Allen B...
Wednesday, December 10, 2014

CFTC CHARGES MAN WITH FRAUD AND ACTING AS AN UNREGISTERED FUTURES COMMISSION MERCHANT

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  November 25, 2014 CFTC Charges California Resident Thomas Gillons with Fraud and Acti...
Wednesday, November 12, 2014

CFTC CHAIRMAN'S STATEMENT ON $1.4 BILLION BANK ENFORCEMENT FINE AND SETTLEMENT

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Statement of Chairman Tim Massad on today’s Forex Enforcement Announcement November 12, 2014 ...
Sunday, September 7, 2014

CFTC ORDERS ORDERS PRECIOUS METALS TRADING COMPAMY AND OWNERS TO PAY $2.9 MILLION

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders S.J. Woods, Inc., Peter Blanco, and Paul Proscia to Pay over $2.9 Million in Res...
Wednesday, August 27, 2014

MERRILL LYNCH TO PAY CFTC FINE FOR SUPERVISORY FAILURES

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures Firm’s Supervi...
Wednesday, August 13, 2014

COURT ORDERS MAN AND HIS COMPANY TO PAY OVER $500,000 FOR OFF-EXCHANGE PRECIOUS METALS TRANSACTIONS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Federal Court Orders Florida Resident Lawrence Scott Spain and His Florida Company, Pal...
Sunday, June 22, 2014

COURT ORDERS $44 MILLION IN SANCTIONS FOR COMMODITY POOL FRAUD AND MISAPPROPRIATION

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court in Utah Imposes over $44 Million in Sanctions against Robert Andres and His Co...
Wednesday, June 18, 2014

CFTC OBTAINS DEFAULT JUDGEMENT IN COMMODITY POOL FRAUD CASE

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Obtains Default Judgment against New York-based SK Madison Commodities, LLC and its P...
Friday, May 30, 2014

CFTC CHARGES COUPLE AND COMPANY WITH MAKING ILLEGAL OFF-EXCHANGE COMMODITY TRANSACTIONS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Florida Residents Cindy and Paul Vandivier and Their Company, Mintline, In...
Tuesday, May 27, 2014

CFTC ACTING CHAIRMAN WETJEN ANNOUNCES 3 ACTIONS TO IMPROVE MARKETS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  May 22, 2014 Acting Chairman Mark Wetjen Announces Three Actions to Protect Liquidity...
Friday, May 16, 2014

CFTC ACTING CHAIRMAN'S TESTIMONY BEFORE SENATE SUBCOMMITTEE

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Testimony of Mark P. Wetjen Acting Chairman, Commodity Futures Trading Commission Before the...
Thursday, May 15, 2014

CFTC OFFICIAL'S TESTIMONY BEFORE SENATE COMMITTEE REGARDING AUTOMATED TRADING ENVIRONMENTS

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Testimony of Vincent McGonagle, Director of the Division of Market Oversight, Commodity...
Monday, May 5, 2014

CFTC FREEZES ASSETS IN MISAPPROPRIATION CASE INVOLVING ALLEGED FOREX FRAUD

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court Freezes Assets of EJS Capital Management, LLC, Alex Vladimir Ekdeshman and Edw...
Monday, April 21, 2014

COMPANY TO PAY PENALTY FOR VIOLATING MINIMUM FINANCIAL REQUIREMENT RULES

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Capital Market Services, LLC Ordered to Pay $275,000 Penalty to Settle CFTC Charges of Vi...