Displaying results 771 - 780 of 1186
CFTC Exercises Authority to Apply Regulations to Exempt Commercial Markets with Significant Price Discovery Contracts
... 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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CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract
... 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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CFTC Sanctions Rosenthal Collins Group for Supervision Violations
... 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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CFTC Revokes Registrations of S.A.C. Capital Advisors, L.P. and S.A.C. Capital Advisors, LLC Based on Criminal Action
... 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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CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme
... 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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CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations
... 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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CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures
... 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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Terrence R. Pipenhagen of Orlando, Fla. and His Two Companies to Pay $150,000 Penalty to Settle CFTC Fraud Charges
... 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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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 Funds
... 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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CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action
... 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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