Displaying results 81 - 90 of 1184
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:
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:
Former Member of New York Futures Exchange Charged with Price Manipulation and False Representations; CFTC Charges Norman Eisler and First West Trading with Manipulating Settlement Prices of Option Contract and Making False Representations
Created on:
CFTC ACCEPTS SETTLEMENT OFFERS OF CURTIS McNAIR ARNOLD AND LONDON FINANCIAL, INC. IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CLIENTS; Arnold Is Ordered To Pay A $100,000 Civil Monetary Penalty, Among Other Sanctions
Created on:
CFTC ACCEPTS OFFER OF SETTLEMENT AGAINST CHICAGO FUTURES FIRM AND ITS PRESIDENT; CFTC Orders Robbins Futures, Inc. and Joel Robbins to Pay Civil Penalty of $120,000 and to Cease and Desist from Future Violations
Created on:
CFTC Finds That The Andersons, Inc. Of   Maumee, Ohio, Offered To Enter And Entered Into Illegal Futures And Option Contracts; CFTC Order Accepting Settlement Offer Finds Convertible HTA Contracts and Option Features Contracts Violated the Commodity Exchange Act, 
Created on:
Dissenting Statement of Commissioner Caroline D. Pham on Commercial End-User Enforcement Action
...I respectfully dissent on In re TOTSA TotalEnergies Trading SA because of the lack of evidence to support the alleged charges and the consequences of asserting that legitimate commercial hedging activity is illegal. Over the past several years, the pocketbooks of Americans and consumers all over the world have been hit hard by inflation and policies that have resulted in higher gas prices and…
Created on:
Dissenting Statement of Commissioner Caroline D. Pham on Off-Channel Communications Matter
...I respectfully dissent on In re Cowen and Co. because the administrative record does not include evidence that any CFTC registered Associated Persons (APs)[1] engaged in activity that was in violation of the CFTC’s recordkeeping requirements for introducing brokers (IBs), such as maintaining records of transactions, orders, and other business “relating to dealing in commodity…
Created on:
CFTC ACCEPTS SETTLEMENT OFFER OF FORMER REFCO FLOOR BROKER LISA BUDICAK IN CONNECTION WITH ORDER-TAKING AND RECORDKEEPING VIOLATIONS; CFTC Orders Budicak to Pay A $20,000 Civil Monetary Penalty And Conditions Any Future Registration For the Next Four Years
Created on:
CFTC ACCEPTS SETTLEMENT OFFER OF FORMER REFCO FLOOR BROKER CONSTANTINE MITSOPOULOS IN CONNECTION WITH SUPERVISION AND RECORDKEEPING VIOLATIONS; CFTC Orders Mitsopoulos to Pay A $1,000,000 Civil Monetary Penalty And To Comply With His Undertakings, Including Never To Seek Registration With the CFTC
Created on: