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Displaying results 71 - 80 of 1196
CFTC Files Statutory Disqualification Action Against John P. Larocque And Simultaneously Accepts His Settlement Offer, Which Includes A Two-Year Period Of Conditioned Registration
Created on:
01/28/2018
CFTC Reaches Settlement With Iowa State Bank & Trust of Fairfield, Iowa, Which Was Named As A Relief Defendant in a CFTC Anti-Fraud Action Filed in January 1996 Release
Created on:
01/28/2018
CFTC Files Statutory Disqualification Action Against Patrick D. Kelly, and Simultaneously Accepts His Settlement Offer, Which Includes a Two-Year Period of Conditioned Registration #
Created on:
01/28/2018
Hedge Fund Moore Capital Management, LP, and Its Affiliates Moore Capital Advisors, LLC and Moore Advisors, Ltd., Ordered to Pay a $25 Million Penalty to Settle CFTC Charges of Attempted Manipulation of Platinum and Palladium Futures Settlement Prices
... April 29, 2010 Hedge Fund Moore Capital Management, LP, and Its Affiliates Moore Capital Advisors, LLC and Moore Advisors, Ltd., Ordered to Pay a $25 Million Penalty to…
Created on:
01/10/2018
CFTC Accepts Settlement Offer of Competitive Strategies for Agriculture, Ltd.; CSA Investor Services, Inc.; and Lee D. Amundson Arising From Marketing of So-Called "Hedge-To-Ariive" Contracts
Created on:
06/26/2018
CFTC ISSUES ORDER ACCEPTING OFFERS OF SETTLEMENT FROM FRANK BARBARINO AND FRANK D'AMATO, FINDING THAT BARBARINO AND D’AMATO ARE SUBJECT TO STATUTORY DISQUALIFICATION AND RESTRICTING THEIR REGISTRATIONS AS FLOOR BROKERS AT THE NYMEX
Created on:
01/28/2018
CFTC FINDS FORMER AVISTA ENERGY VICE-PRESIDENT MANIPULATED ELECTRICITY FUTURES ON NYMEX; William H. Taylor of Houston, Texas, Agrees to Settlement Terms, Including a Civil Monetary Penalty and Trading Ban
Created on:
01/28/2018
CFTC Files Statutory Disqualification Action Against CBOT Floor Broker, Edgar Clifford Sharp, III, and Simultaneously Accepts His Settlement Offer, Which Includes a Two-Year Period of Conditioned Registration
Created on:
01/28/2018
HAWAIIAN RESIDENT BARRY SCHOTZ ORDERED TO PAY $4.5 MILLION IN SETTLEMENT OF CFTC FRAUD ACTION; Court Also Enjoins Los Angeles-Area Resident Randolph Gale in Same Commodity Pool Fraud Scheme
Created on:
01/28/2018
CFTC Files Enforcement Action Charging Two Chicago Firms and Resident with a Failure to Supervise Foreign Accounts; CFTC Files Complaint Against Excellent USA And John Gallwas and Accepts Settlement Offer From LFG
Created on:
01/28/2018
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