Displaying results 651 - 660 of 880
CFTC Seeks to Revoke Registrations of Commodity Pool Operator and its CEO
...May 8, 2020 CFTC Seeks to Revoke Registrations of Commodity Pool Operator and its CEO Washington, DC — The Commodity Futures Trading Commission today filed a Notice of Intent to revoke the registrations of Phy Capital Investments, LLC (PCI), a registered commodity pool operator with its principal place of business in Miami, Florida, and its chief executive officer and registered…
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CFTC Orders Illinois Resident and Broker to Pay Over $1.1 Million for Fraud and Additional Violations
...Washington, D.C. — The Commodity Futures Trading Commission issued two orders today filing and resolving charges for fraud, unauthorized and fictitious trading, and failing to diligently supervise the handling of a customer account against Mark Miller and registered introducing broker Foremost Trading LLC, both of Illinois. Miller is a principal and associated person of Foremost. The…
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CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud
... January 28, 2013 CFTC Seeks to Revoke the Registration of Robert A. Christy and the Registrations of his Company, Crabapple Capital Group LLC, Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today filed a notice of intent to revoke the registrations of Robert A.…
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CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC
... August 22, 2013 CFTC Files Action to Revoke Registration of Commodity Trading Advisor Prestige Capital Advisors, LLC Washington, DC- The U.S. Commodity Futures Trading Commission (CFTC) today filed a Notice of Intent (Notice) to revoke the registration of Prestige Capital Advisors, LLC (Prestige) of Charlotte, North Carolina, as a Commodity Trading Advisor (CTA). The CFTC…
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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
… own personal use. Defendants sought to cover up their misappropriation by inviting customers to transfer their …
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CFTC Releases Annual Enforcement Results for Fiscal Year 2014
… Michael Vilner - Filed charges of fraudulent solicitation, misappropriation, false statements and registration …
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Speech of Commissioner Kristin N. Johnson: Beyond Policing for Fraud: Post-Crisis Crypto-Corporate Governance Reforms
… limits); (6) reporting and recordkeeping violations; (7) misappropriation of material, non-public, confidential …
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Keynote Address of Chairman J. Christopher Giancarlo before FIA Annual Meeting, Boca Raton, Florida
… funds. Another concerned potential commodity fraud and misappropriation. A third charged the defendants with fraud …
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Federal Court in New York Enters Preliminary Injunction Order against Patrick K. McDonnell and His Company CabbageTech, Corp. d/b/a Coin Drop Markets in Connection with Fraudulent Virtual Currency Scheme
… 18, 2018 Complaint charging Defendants with fraud and misappropriation in connection with purchases and trading of …
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CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud
... March 29, 2013 CFTC Charges North Carolina Resident James Harvey Mason with Commodity Pool Fraud Federal court issues emergency order freezing assets and protecting books and records of Mason, The JHM Forex Only Pool, and Forex Trading at Home Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Graham Mullen of the U.S. District…
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