Displaying results 81 - 90 of 202
Statement of Commissioner Kristin N. Johnson Regarding CFTC Settlement with First State Depository Company, LLC and Argent Asset Group LLC for Precious Metals Fraud
… calibrated to deter fraudsters from targeting vulnerable investors.  There can be no mistake; we are committed to … ; see also See CFTC Customer Advisory: Be Alert and Share Information to Help Seniors Avoid Fraud, …
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Federal Court Orders Affiliate Marketer to Pay More Than $13.8 Million for Binary Options Fraud
… Susan J. Gradman. * * * * * * Joint CFTC-SEC Binary Options Investor Alert The CFTC’s Office of Customer Education and Outreach and the SEC’s Office of Investor Education and Advocacy have issued a joint investor …
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e7-3122
… statement prescribed in the rule,'' whose purpose was ``to alert prospective customers to the limitations inherent in … employees'' and ``qualified purchasers,'' and accredited investors who have investments with an aggregate market … employees'' and ``qualified purchasers,'' and accredited investors who have investments with an aggregate market …
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CFTC Charges Wisconsin Woman and Her Companies with Fraud and Misappropriation
… funds totaling at least $15.7 million from at least 67 investors. Yang’s husband, Chao Yang, is named as a relief defendant for receiving investor funds to which he was not entitled.  Case … the Foreign Currency (Forex) Trading Fraud Advisory , which alerts customers to forex fraud and lists simple ways to …
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History of the CFTC
… Fraudulent Digital Asset and “Crypto” Trading Websites , an Investor Alert this week to warn investors to scrutinize investment opportunities through …
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2023-22324
… QEPs, such natural persons must  meet the ``accredited investor'' definition adopted by the Securities  and … net worth or joint net worth tests within the  ``accredited investor'' definition; (9) natural persons who would  … this discussion, the SEC and CFTC released a joint investor alert to  investors thinking about investing in a fund with …
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Opening Remarks of Commissioner Kristin Johnson for the CFTC and OMWI Roundtable on Digital Assets and Financial Inclusion
… celebrities and tales of instant, high-yield returns, many investors seeking opportunities to build wealth and enter … citizens, active-duty military, and veterans. Some of these investors are expressly drawn to these novel markets by … the efforts of others. [13] See, CFTC Customer Advisory: Be Alert and Share Information to Help Seniors Avoid Fraud …
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CFTC Charges Three Individuals and Three Florida Companies with Fraud in Multimillion-Dollar Precious Metals Scheme
… at least $8 million in funds and silver from at least 60 investors in connection with a fraudulent silver leasing … the complaint, the Silver Lease Program purported to offer investors guaranteed monthly lease payments in exchange for … fraud, including the Precious Metals Fraud Advisory , which alerts customers to precious metals fraud and lists simple …
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The CFTC and 27 State Securities Regulatory Agencies Charge Los Angeles Area Precious Metals Dealer in Ongoing $68 Million Fraud Targeting the Elderly
… that solicited and received approximately $68 million in investor funds to purchase precious metals and fraudulently … represents our mutual interest in protecting main street investors,” said CFTC Chairman Rostin Behnam. “A … , including the Precious Metals Fraud Advisory , which alerts customers to precious metals fraud and lists simple …
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2015-23040
… COMMODITY FUTURES TRADING COMMISSION Public Alert--Registration Deficient List AGENCY: Commodity Futures … this information publicly available, the Commission expects investors  to make more informed decisions whether to trade with or through such  an entity. The more U.S. investors trade with and through registered  entities, the …
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