Displaying results 781 - 790 of 1195
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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Remarks of Commissioner James E. Newsome before the Mississippi Agricultural Economics Association, Mississippi State University
...Remarks of Commissioner James E. Newsome before the Mississippi Agricultural Economics Association, Mississippi State University June 24, 1999 Introduction Thank you for the opportunity to be here with you today. I would like to thank Dr. Marty Fuller for inviting me to this conference, and all of the people who organized and planned today's activities. I firmly believe that this…
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Former Enserco Energy Trader Matthew Reed to Pay $475,000 to Settle CFTC Charges of False Reporting and Attempted Manipulation of Natural Gas Prices
... Release: 5570-08 For Release: November 17, 2008 Former Enserco Energy Trader Matthew Reed to Pay $475,000 to Settle CFTC Charges of False Reporting and Attempted Manipulation of Natural Gas Prices Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained a $475,000 civil monetary…
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Florida-Based Executive Commodity Corp. and Three Employees Ordered to Pay Approximately $24 Million in Restitution and Penalties in CFTC Anti-Fraud Action
... Release: 5461-08 For Release: February 21, 2008 Florida-Based Executive Commodity Corp. and Three Employees Ordered to Pay Approximately $24 Million in Restitution and Penalties in CFTC Anti-Fraud Action Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) announced today that it obtained approximately $24…
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Five Current and Former Coral Energy Traders Settle CFTC Charges for False Reporting and Attempted Manipulation in Natural Gas Market; Defendants Ordered to Pay $1 Million Penalty
... Release: 5411-07 For Release: November 9, 2007 Five Current and Former Coral Energy Traders Settle CFTC Charges for False Reporting and Attempted Manipulation in Natural Gas Market Defendants Ordered to Pay $1 Million Penalty Washington, DC – The U.S. Commodity Futures Trading Commission (…
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Defendants Ordered to Pay $1.6 Million in Government's Attempted Manipulation Case against Concord Energy, LLC and Natural Gas Energy Traders Shawn McLaughlin and Darrell Danyluk
... Release: 5300-07 For Release: March 14, 2007 Defendants Ordered to Pay $1.6 Million in Government’s Attempted Manipulation Case against Concord Energy, LLC & Natural Gas Energy Traders Shawn McLaughlin and Darrell Danyluk Traders Submitted False Information to Platt’s Gas Daily and Other Natural Gas Index Compilers…
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