Displaying results 31 - 40 of 1184
Statement of Commissioner Kristin N. Johnson Regarding CFTC Settlement with First State Depository Company, LLC and Argent Asset Group LLC for Precious Metals Fraud
...Today, the Commodity Futures Trading Commission (CFTC or Commission) filed a Consent Order for Permanent Injunction, Civil Monetary Penalty, and Other Equitable Relief Against Settling Defendants in the U.S. District Court for the District of Delaware against First State Depository Company, LLC (FSD) and Argent Asset Group LLC (Argent, and together with FSD, Settling Defendants), resolving an…
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CFTC Committee to Discuss Global Issue of Regulation of Physical Commodity Markets and Clearing and Settlement
... Release: 5394-07 For Release: September 28, 2007 CFTC Committee to Discuss Global Issue of Regulation of Physical Commodity Markets and Clearing and Settlement Washington, DC – The Commodity Futures Trading Commission (CFTC) will convene a meeting on October 2, 2007 of the Global Markets Advisory Committee (GMAC) that will focus on the European Commission’s (EC) on-going review of…
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CFTC Orders Swap Dealer to Pay $1.5 Million Penalty for Position Limit Violations, and Supervision and Position Limit Monitoring Failures
...WASHINGTON, D.C. — The Commodity Futures Trading Commission today issued an order filing and settling charges against Merrill Lynch Commodities, Inc., based in Houston, for exceeding the federal and ICE Futures U.S. position limits in contracts that reference natural gas futures traded on the New York Mercantile Exchange and for swap dealer supervision and position limit monitoring…
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Florida Court Enters CFTC Settlement Order with Concorde Trading Group
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Commissioner Bart Chilton’s Concurring in part and Dissenting in part to the Settlement in the Matter of Martin A. Lorenzen, Respondent
... Commissioner Bart Chilton’s Concurring in part and Dissenting in part to the Settlement in the Matter of Martin A. Lorenzen, Respondent February 8, 2013 While I concur in the terms of the settlement in this matter with regard to the findings of violations and the non-monetary components of…
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Statement of Commissioner Bart Chilton Concurring in part and Dissenting in part to the Settlement In the Matter of Goldman, Sachs & Co.
... Commissioner Bart Chilton Concurring in part and Dissenting in part to the Settlement In the Matter of Goldman, Sachs & Co., Respondent Commissioner Bart Chilton December 7, 2012 While I concur in the terms of the settlement in this matter with regard to the findings of…
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Statement of Commissioner Dan M. Berkovitz Regarding the Commission’s Settlement with Kraft Foods Group, Inc. and Mondelēz Global LLC
… the gravity of Kraft’s conduct. However, particularly in settlements where there are no evidentiary findings, it is … that restrict the agency’s ability to speak about settlements or the underlying action.  For example, the …
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CFTC Accepts Settlement Offer of Selwyn "Sy" Gaiber; CFTC Settlement Order Finds that Gaiber Acted as an Unregistered CTA and Failed to Deliver Disclosure Documents and to Disclose His Past Performance Record,
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Statement of Commissioner Dan M. Berkovitz on Exchange Rules and Product Terms and Conditions that Fail to Impose Limits on Crude Oil “Trading at Settlement” Transactions
...I.  Introduction The Commission’s final rules on Position Limits for Derivatives (Position Limits Final Rules) become effective today, March 15, 2021.[1]  In anticipation of this effective date, the New York Mercantile Exchange (NYMEX), a CFTC-registered designated contract market, “self-certified”[2] amended product terms and conditions to raise the speculative position limits…
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ENRON SEEKS BANKRUPTCY COURT APPROVAL TO ENTER INTO PROPOSED SETTLEMENT WITH THE CFTC; Proposed Settlement Would Resolve CFTC Complaint Charging Enron With Manipulation of Natural Gas Prices in July 2001, and Other Violations
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