Displaying results 81 - 90 of 1195
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
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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
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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
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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
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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
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Commissioner Caroline D. Pham
… on Banking Supervision (BCBS), and Bank for International Settlements (BIS), as well as central banks, government …
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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, 
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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
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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
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Dissenting Statement of Commissioner Caroline D. Pham on SEF Enforcement Actions
...WASHINGTON, D.C. – U.S. Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham issued the following dissenting statement on the CFTC’s recent enforcement actions regarding Tradition SEF LLC, GFI Swaps Exchange, LLC and BGC Derivative Markets, L.P.: “In a developing trend, the Commission has now brought four enforcement actions enshrining a new prescriptive approach to the…
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