Displaying results 321 - 330 of 880
Georgia Man Sanctioned for Fraudulent Scheme Attempting to Profit from COVID-19
… Georgia resident, for engaging in fraudulent solicitation, misappropriation, operation of an unlawful commodity pool, … action that charged Ramos with fraudulent solicitation, misappropriation, operation of an unlawful commodity pool, … against Ramos on April 17, 2020, alleging securities fraud, misappropriation, and registration violations. The Division …
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CFTC Charges Nebraska Commodity Pool Operator and its Owner with Fraud and Regulatory Violations
… also charges Svejda with liability for all of Centurion’s misappropriations and misrepresentations as a controlling …
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Federal Court Orders Wisconsin Resident and Her Companies to Pay More than $24 Million for Forex Fraud Targeting Local Hmong Community
...Washington, D.C. — The Commodity Futures Trading Commission today announced the U.S. District Court for the Eastern District of Wisconsin on June 5 entered an order of default judgment and permanent injunction against Kay Yang (Yang) of Mequon, Wisconsin and her companies, AK Equity Group LLC (AK Equity) and Xapphire LLC (Xapphire), for fraud in connection with retail foreign…
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Federal Court Orders Florida Men to Pay Over $1.6 Million for Precious Metals Fraud
...Washington, D.C. — The Commodity Futures Trading Commission today announced the U.S. District Court for the Middle District of Florida entered consent orders on March 1 for permanent injunction, monetary sanctions, and equitable relief against Marvin W. Courson III (Courson) and Christopher A. Kertatos (Kertatos). Both Courson and Kertatos reside in Florida. Previously, the U.S. District…
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CFTC Charges Texas Resident and Six U.S. and Costa Rican Companies with Engaging in Two Fraudulent Schemes Totaling $6 Million
… off-exchange foreign currency (derivatives and forex), misappropriation of funds, and issuing false statements. The …
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CFTC Charges Florida-Based Entities and Individuals with Multi-Million Dollar Futures and Forex Fraud
…  also of Miami, Florida, charging them with fraud and misappropriation of over $19 million involving futures, …
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CFTC Charges Commodity Pool Operators and a Florida Company with Fraudulently Solicitating Over $41.6 Million in a Commodity Pool Scheme
...Washington, D.C. — The Commodity Futures Trading Commission today announced it has filed a civil enforcement action in the U.S. District Court for the Southern District of Florida against Emerson Pires and Flavio Goncalves, both Brazilian citizens who previously resided in Port Saint Lucie, Florida; Joshua Nicholas of Stuart, Florida; and Empires Consulting Corp., a Florida corporation. The…
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Federal Court Orders Chicago-area Trader and His Company to Pay $377,000 for Forex and Commodity Fraud
… Press Release No. 7857-18 ] alleging solicitation fraud, misappropriation of client funds, and failing to register …
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Federal Court Orders Alabama Company and its Owner to Pay Over $1.1 Million for Commodity Pool Fraud
… owner Aaron B. Butler , engaged in fraudulent solicitation, misappropriation, and registration violations in connection … that charged Butler and NCI with fraudulent solicitation, misappropriation, and registration violations. [See CFTC …
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Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023 — Investor Bulletin
...The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the…
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