Displaying results 41 - 50 of 1184
CFTC Accepts Settlement Of American Futures Group And Three Individuals Charged With Failure To Supervise
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CFTC Issues an Order Instituting Proceedings and Accepts Settlement Offer from Peter D. Hoffman
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CFTC Accepts Settlement Offer of Gloria Albino of Miami, Florida, Finding That She Engaged in Commodity Fraud
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Dissenting Statement of Commissioner Caroline D. Pham on Off-Channel Communications Enforcement Action
...Washington, DC – Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s settlement order regarding Piper Sandler Hedging Services LLC: “Once again, the CFTC has no evidence that a violation of CFTC recordkeeping rules for introducing brokers (IBs) actually occurred.[1] And, this case also piggybacks off the SEC’s…
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CFTC ACCEPTS SETTLEMENT OFFER OF SOUTHERN THUMB CO-OP, INC. ARISING FROM THE MARKETING OF ILLEGAL OFF-EXCHANGE AGRICULTURAL OPTIONS; CFTC Order Accepting Settlement Offer Finds Fraud In The Solicitation of Customers To Enter Into Off-Exchange Agricultural Options
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CFTC and SEC Adopt Final Rules Related to Cash Settlement Procedures and Trading Halts for Security Futures Products
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CFTC and SEC Propose Joint Rules Relating to Trading of Security Futures Products; Cash Settlement, Trading Halts
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CFTC ACCEPTS SETTLEMENT OFFER FROM MICHAEL SINGER IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Singer’s Registration, Prohibits Him From Trading For Five Years, and Imposes a $75,000 Civil Monetary Penalty, Among Other Sanctions
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CFTC Staff Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process
... September 29, 2014 CFTC Staff Issues Time-Limited No-Action Relief Relating to Certain CDS Clearing-Related Swaps Executed Pursuant to a CDS Settlement Price Process …
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CFTC ACCEPTS SETTLEMENT OFFER FROM EMMETT J. WHEALAN IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Whealan’s Registration, Prohibits Him From Trading For Five Years, And Imposes A $125,000 Civil Monetary Penalty, Among Other Sanctions
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