Displaying results 821 - 830 of 880
Statement of Commissioner Kristin N. Johnson Calling for the CFTC to Initiate A Rulemaking Process for CFTC-Registered DCOs Engaged in Crypto or Digital Asset Clearing Activities
… robust regulatory framework designed to prevent misuse or misappropriation of customers’ funds, abuse of customers …
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CFTC Charges Block Trade Broker with Insider Trading
...September 28, 2018 CFTC Charges Block Trade Broker with Insider Trading Broker’s Firm Is Additionally Charged with Supervisory and Recordkeeping Failures Washington, DC – The Commodity Futures Trading Commission (CFTC or Commission) today filed a civil enforcement action in the U.S. District Court for the Southern District of New York against EOX Holdings LLC (EOX), an Introducing…
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Federal Court Orders Binary Options Firm and Principal to Pay More Than $22 Million for Fraudulent Scheme
...April 29, 2019 Federal Court Orders Binary Options Firm and Principal to Pay More Than $22 Million for Fraudulent Scheme Court Also Enters Default Judgment Against CIT Investments LLC (Nevada), Brevspand EOOD (Bulgaria), and CIT Investments Ltd. (Anguilla) for Fraud in Connection with Binary Options Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced that…
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CFTC Releases Enforcement Division’s Annual Results
… merchant, and its owner, Russell R. Wasendorf, Sr. alleging misappropriation of customer funds, violations of customer …
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CFTC Enforcement Program Files 25% More Cases During Fiscal Year 2009 than in the Prior Fiscal Year
… them with a $1.3 billion investment scheme that included misappropriation of at least $553 million from commodity …
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Testimony Before the U.S. Senate Committee on Agriculture
… complaint in federal court in Chicago.  In addition to the misappropriation, the CFTC’s complaint alleges that the …
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2012-20962
… two widely publicized incidents of intermediary fraud and misappropriation of customer funds (i.e., MF Global Holdings … two widely publicized incidents of intermediary fraud and misappropriation of customer funds (i.e., MF Global Holdings …
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“It’s Time to Pull Back the Curtain and Make the Final Rulemaking Process as Transparent as Possible”
… in the securities markets such as insider trading based on misappropriation. It is therefore essential for the …
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Remarks on OTC Derivatives Regulation before Futures Industry Association Annual Expo
... Remarks of Chairman Gary Gensler, OTC Derivatives Regulation, Futures Industry Association Annual Expo October 21, 2009 Good morning. It is a pleasure to be in Chicago with you today at one of the defining moments in our nation’s financial history. As we speak, Congress is taking up broad…
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CFTC Charges Precious Metals Dealer and its Owner with Fraud
...September 17, 2018 CFTC Charges Precious Metals Dealer and its Owner with Fraud Washington, DC – The Commodity Futures Trading Commission (CFTC) filed a civil enforcement action in the U.S. District Court for the Southern District of New York against Defendants Royal Metals Group, LLC (RMG), and its member, manager and part owner, Chelsea Gless of Iowa.  The CFTC’s Complaint charges…
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