Displaying results 101 - 110 of 1184
CFTC Accepts Settlement Offer of International Futures Corporation (IFC), an Introducing Broker in Washington, D.C.; CFTC Finds that IFC Committed Fraud in Soliciting Customers for its Managed Account Trading Program and Acted as an Unregistered CTA; Order Finds that IFC Customers Lost about $400,000 in its Hermes Managed Account Program
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CFTC ACCEPTS SETTLEMENT OFFERS FROM FIRST OPTIONS OF CHICAGO, INC. IN TWO ENFORCEMENT ACTIONS, AND ORDERS MORE THAN $200,000 IN MONETARY SANCTIONS; In One Action, CFTC Finds That First Options of Chicago Is Liable For Violations Of, And Failed To Diligently Supervise its Guaranteed Introducing Broker; In The Second Action, CFTC Finds Recordkeeping Violations
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CFTC ACCEPTS SETTLEMENT OFFERS OF KEVIN JACKAM, MICHAEL THOMAS AND NEW MILLENIUM PROMOTIONS IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Finds That Jackam Committed Fraud In Soliciting Customers To Trade Options On Commodity Futures Contracts And Failed To Supervise, and That Thomas And New Millenium Failed To Supervise And Acted In An Unregistered Capacity While Operating An Introducing Broker
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Statement of Commissioner Caroline D. Pham in Support of Foreign Boards of Trade Final Rule
...I support the Foreign Boards of Trade (FBOT) Final Rule because it promotes access to markets for U.S. participants, competition, and liquidity.  I would like to thank Maura Dundon, Roger Smith, and Alexandros Stamoulis in the CFTC’s Division of Market Oversight for their work on this rulemaking. I will reiterate key points from my statement on the FBOT proposed rule. [1] As a CFTC…
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CFTC FINDS COMEX FLOOR BROKERS HENRY CHANDLER AND ERNEST PENNY COMMITTED FRAUD IN EXECUTING GOLD OPTIONS TRADES, AND FIVE OTHER FLOOR BROKERS ENGAGED IN NONCOMPETITIVE TRADING, AMONG OTHER VIOLATIONS OF THE FEDERAL COMMODITIES LAWS; CFTC Accepts Offers of Settlement from Henry Chandler, Robert Ferraioli, Michael Hammer, Ernest Penny, Tacho Sandoval, William Wosnack, and Stephen Seelenfreund
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Statement of Commissioner Caroline D. Pham on SEC v. Jarkesy
… done at the Commission to ensure that our adjudications and settlements can withstand scrutiny, particularly when they …
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEXUS FINANCIAL GROUP, INC., MARK LEE SINGER AND DAVID ALAN LUGER IN CONNECTION WITH THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Order Finds that Lexus, Singer, and Luger Committed Fraud in Soliciting Customers to Trade Options on Commodity Futures Contracts, Revokes Their Registrations, and Prohibits Them from Trading; Requires Singer and Luger to Pay $6.8 Million in Restitution To Defrauded Customers
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Statement of Commissioner Caroline D. Pham Regarding Rule 11 Sanctions Motion in CFTC v. Traders Global Group
… to get a rubber stamp approval to railroad the public into settlements that deprive Americans of their Constitutional …
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Statement of Commissioner Kristin N. Johnson: Prioritizing Customer Protection and Combatting Fraud by FTX and Alameda
...Introduction Today, in a historic judgment with a $12.7 billion settlement, the Commodity Futures Trading Commission (Commission or CFTC) announced the entry of a consent order in its litigation against FTX Trading Ltd. (FTX) and Alameda Research LLC (Alameda). Today’s announcement sends a clear message regarding the Commission’s intent to hold fraudsters accountable. The consent order,…
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEON LEVITIS, ILYA LEVITIS, AND PAUL MANFRE IN CONNECTION WITH THE FRAUDULENT SALE OF ILLEGAL FOREIGN CURRENCY FUTURES CONTRACTS; Order Finds That Leon Levitis, Ilya Levitis, and Paul Manfre Fraudulently Solicited Customers To Enter Into Illegal Foreign Currency Futures Contracts And That Leon Levitis and Ilya Levitis Also Made and Issued False Reports, Bucketed Customer Orders, and Converted and Commingled Customer Funds
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