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Federal Court Orders Dante S. Giovannetti and His Companies Emini Experts, LLC and Capital Trading Concepts LLC to Pay over $2.7 Million in Restitution and Monetary Penalties for Commodity Pool Fraud and Other Violations of the Commodity Exchange Act
... June 22, 2016 Federal Court Orders Dante S. Giovannetti and His Companies Emini Experts, LLC and Capital Trading Concepts LLC to Pay over $2.7 Million in Restitution and…
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CFTC Charges Irvine, California Resident Ghassan Tawachi and His Company, Intelligent Trades, LLC, with Defrauding Customers in Connection with a Commodity Futures Trading System
… on April 26, 2012, that charged Tawachi with fraud and misappropriation and permanently prohibited him from …
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Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry
... November 30, 2015 Federal Court in Illinois Permanently Bans Former Sentinel Management Group, Inc. CEO and President Eric A. Bloom from the Commodities Industry …
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Federal Court in Austin, Texas Orders Australian Defendants to Pay over $192 Million in Restitution and Fines for Forex Fraud
… September 18, 2012, that charged Pousa and IIC with fraud, misappropriation, and other CEA violations (see CFTC Press …
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Federal Court Orders Missouri Resident Daniel K. Steele and His Missouri Company, Champion Management International, LLC, to Pay over $2.5 Million in Monetary Sanction
... December 16, 2014 Federal Court Orders Missouri Resident Daniel K. Steele and His Missouri Company, Champion Management International, LLC, to Pay over $2.5 Million in Monetary…
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CFTC Charges Georgia Man with Operating a Multi-Million Dollar Forex Ponzi Scheme
... Release: 5674-09 For Release: July 9, 2009 CFTC Charges Georgia Man with Operating a Multi-Million Dollar Forex Ponzi Scheme Eldon A. Gresham Targeted Persons of the Christian Faith, Soliciting More Than $15 Million; Court Freezes Assets Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today…
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2011-20817
… maintain safeguards, policies and procedures addressing the misappropriation or misuse of swap data that the Commission … and procedures that would, at a minimum, address the misappropriation or misuse of swap data that the Commission … privacy and confidentiality--as well as misuse and misappropriation--of data should provide (i) limitations on …
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CFTC Charges New Mexico Resident with Fraud in Long-Running Ponzi Scheme
...December 10, 2019   CFTC Charges New Mexico Resident with Fraud in Long-Running Ponzi Scheme Washington, DC – The U.S. Commodity Futures Trading Commission today announced it has filed a civil enforcement action in the District of New Mexico against defendant Douglas Lien (d/b/a Westend Investments) of Santa Fe, New Mexico, charging him with fraud and failing to register with the…
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Keynote Address of Chairman Rostin Behnam at the ABA Business Law Section Derivatives & Futures Law Committee Winter Meeting
… investment firm and market maker on the exchange) alleging misappropriation of customer funds, and amended that action …
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CFTC Division of Enforcement Issues Annual Report for FY 2019
… – from manipulative behavior, to commodities fraud, to misappropriation of confidential information. “The breadth …
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