Displaying results 141 - 150 of 206
LabCFTC Launches “Project Streetlamp” Science Prize Competition
… Deficient (RED) List , a tool launched in 2015 to alert customers to foreign entities that appear to be … agencies, like ours, fulfill our mission of protecting investors. We are proud of this inaugural competition and …
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CFTC Issues Customer Advisory on COVID-19
… issued a Customer Advisory informing the public to be on alert for frauds seeking to profit from recent market … OCEO engages in outreach and education to retail investors, traders, industry organizations, and the … Futures Trading Commission advises the public to be on alert for frauds seeking to profit from recent market …
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CFTC Charges Multiple Individuals and Companies with Operating a Fraudulent Scheme Involving Binary Options and a Virtual Currency Known as ATM Coin
… program to generate manipulated data to cheat hundreds of investors out of their hard-earned savings,” stated U.S. … Advisory and “RED” List The CFTC has issued a Consumer Alert to warn about fraudulent schemes involving binary options and their trading platforms. The Alert warns customers that the perpetrators of these …
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CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme
… violations of securities law involving over 700 Ontarian investors and over $1.4 million Canadian dollars. The CFTC … including the Binary Options and Fraud Advisory , which alerts customers to this type of fraud and list simple ways …
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2012-5157
… custodial accounts and investment companies that enable investors to make wire transfers to other parties or that … on a deferred basis, if they do not ``advance'' funds to investors and clients.\43\ … Alerts, notifications, or other warnings received from … institution or creditor detects a fraud or active duty alert;\103\ (2) implementing any requirements for furnishers …
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CFTC Issues Customer Advisory on Digital Tokens
… Issues Customer Advisory on Digital Tokens New Guidance Alerts Customers to Use Caution and Research before … Approved” Virtual Currency IRAs is designed to encourage investors to be cautious of sales pitches touting “IRS …
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2013-30975
… system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … that undue influence of securities issuers, institutional investors, and other outside parties on analysts is … that undue influence of securities issuers, institutional investors, and other outside parties on analysts is …
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CFTC Charges California and Colorado Residents in Ongoing Multimillion-Dollar Ponzi Scheme
… solicitations and phony excuses for their failure to return investor funds. In addition to the fraud violations charged, … Foreign Currency Trading (Forex) Fraud Advisory , which alert customers these types of fraud and list simple ways to …
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2012-5317
… annually; (v) implement an early warning system designed to alert senior management when position limits are in danger … involving such specific derivative contract.'' ADM Investor Services Inc. commented on the differences between … LLP (on behalf of Peregrine Financial Group Inc.), ADM Investor Services Inc., John Stewart & Associates Inc., and …
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Written Testimony of Chairman J. Christopher Giancarlo before the Senate Banking Committee
… The CFTC has sufficient authority under the CEA to protect investors in virtual currency derivatives over which the … authority) over cash commodity markets. IV. Educating Investors and Market Participants The CFTC believes that the … Persons (AARP)  to distribute a virtual currency “Watchdog Alert” to 120,000 AARP members; •  North American Securities …
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