Displaying results 801 - 810 of 880
CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations
...Washington, D.C. — The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM), for failing to diligently supervise its officers’, employees’, and agents’ handling of several commodity trading accounts and failing to adequately implement procedures to detect and report suspicious…
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Federal Court Orders Defendants to Pay More Than $11 Million in Connection with Commodity Pool Fraud
...December 10, 2018 Federal Court Orders Defendants to Pay More Than $11 Million in Connection with Commodity Pool Fraud Washington, DC — The Commodity Futures Trading Commission (CFTC) today announced an Order of default judgment and permanent injunction has been issued against defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra Development Group LLP), of Newhall…
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Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling More Than $14,000,000
... Release: 5315-07 For Release: April 12, 2007 Nine Defendants from “Operation Wooden Nickel” Ordered to Pay Restitution, Return Ill-Gotten Gains, and Pay Fines Totaling More Than $14,000,000 Judge Finds That Defendants Committed Fraud through the Sale of Illegal Off-Exchange Foreign Currency (Forex) Futures Contracts …
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Public Meeting of the Technology Advisory Committee to be Held Tomorrow
… maintained and overseen by the CFTC to prevent fraud and misappropriation of customer funds.” The TAC meeting is open …
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U.S. District Court for the Northern District of California Imposes Permanent Trading Ban against Defendant in CFTC False Statements and Solicitation Fraud Action
… ban was overly broad because there was no finding of misappropriation of client funds for personal use in this …
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Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool Scheme
... March 24, 2014 Federal Court in North Carolina Orders Mitchell Brian Huffman to Pay $2.1 Million Penalty for Defrauding Customers of More than $3.2 Million in Commodity Pool…
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CFTC Orders Chief Compliance Officer of Trading Firm to Pay 150,000 for Fraud and False Statements to a Self-Regulatory Organization
...September 12, 2019 CFTC Orders Chief Compliance Officer of Trading Firm to Pay $150,000 for Fraud and False Statements to a Self-Regulatory Organization Washington, DC – The U.S Commodity Futures Trading Commission today issued an order filing and settling charges against CFTC registrant Rafael Marconato of Limeira, São Paulo, Brazil, requiring him to pay $125,000 in restitution and a $…
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CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked Ponzi Scheme
… assets. The complaint further alleges that to conceal their misappropriation, the defendants sent pool participants …
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Statement of Chairman Heath P. Tarbert in Support of Final Rule Preventing Bad Actors from Relying on CPO Exemptions
… crimes, such as embezzlement, theft, extortion, fraud, misappropriation, and bribery.  Once an individual is …
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Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a CFTC Investigator, and Sending Forged CFTC Documents
...July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a CFTC Investigator, and Sending Forged CFTC Documents Washington, DC – On June 28, 2019, a Texas federal court ordered two defendants—one using the name Morgan Hunt (Hunt), purportedly of Arlington, Texas (Hunt), and the other using…
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