Displaying results 771 - 780 of 1186
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Release: 5683-09
For Release: July 27, 2009
CFTC Exercises Authority to Apply Regulations to Exempt Commercial Markets with Significant Price Discovery Contracts
CFTC Announces Its Determination that the Henry Financial LD1 Fixed Price Contract Traded on the Intercontinentalexchange, Inc., Performs a Significant Price Discovery…
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Release: 5511-08
For Release: June 17, 2008
CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract
Amended Foreign Access Relief Establishes New Standard
Washington, DC – Today, the Commodity Futures Trading Commission (CFTC or Commission) announced that Commission staff has amended…
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November 13, 2014
CFTC Sanctions Rosenthal Collins Group for Supervision Violations
Firm Ordered to Disgorge More than $100,000 in Commissions and Pay $700,000…
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September 16, 2014
CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action
Washington, DC – The U.S.…
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December 21, 2010
CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Penalties Totaling $700,000 for Engaging in a…
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October 4, 2010
CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations
CFTC orders the firm to pay a $780,000 civil…
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September 30, 2010
CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures
CFTC finds that Alaron failed to supervise diligently its employees…
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August 30, 2010
Terrence R. Pipenhagen of Orlando, Fla. and His Two Companies to Pay $150,000 Penalty to Settle CFTC Fraud Charges
Pipenhagen, TRP Advisory Group…
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March 27, 2014
CFTC Orders Morgan Stanley Smith Barney LLC to Pay $490,000 to Settle Charges Relating to Rules and Regulations Pertaining to Segregated and Secured Amount…
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March 21, 2012
CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action
Washington, DC – The U.S…
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