Displaying results 801 - 810 of 1186
Opening Statement of Commissioner Scott D. O’Malia
… the principles set forth by the Bank for International Settlements’ (“BIS”) Committee on Payment and Settlement …
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Keynote Address of the 7th Annual FIA Asia Derivatives Conference
… principles. For example, the Bank for International Settlements’ (“BIS”) Committee on Payment and Settlement …
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Remarks of Commissioner Sharon Y. Bowen before the Managed Funds Association Forum 2016
… attention should be paid to whether there were any settlements or court judgments for market manipulation – …
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Speech, "Pencils Down: Let’s Take a Break" at the Electric Power Supply Association Annual Meeting
... “Pencils Down: Let’s Take a Break” CFTC Commissioner Bart Chilton before the Electric Power Supply Association Annual Meeting, Scottsdale, Arizona January 30, 2010 Thank you, John (Shelk) for that introduction. Thank you also, John, for being a member of our Energy and Environmental…
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Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases
...Washington, D.C. — The Commodity Futures Trading Commission today announced the settlement of two enforcement matters involving Deutsche Bank. In the first matter, Deutsche Bank AG (Deutsche Bank) resolved federal court charges stemming from alleged violations of various swap data reporting and other regulatory violations. In the second matter, the CFTC issued an administrative order against…
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CFTC Announces First Whistleblower Award to a Foreign Whistleblower
...July 16, 2018 CFTC Announces First Whistleblower Award to a Foreign Whistleblower Washington, DC - The Commodity Futures Trading Commission (CFTC) today announced an award of over $70,000 to a whistleblower who significantly contributed to an ongoing CFTC investigation and led the CFTC to a successful settlement.  The award is the first made by the CFTC’s Whistleblower Program…
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Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff
... Release: 5354-07 For Release: July 18, 2007 Interactive Brokers LLC Sanctioned for Failing to Supervise Its Compliance Staff CFTC Orders Online Broker to Give Up $175,000 in Commissions It Earned Handling a Customer Account Used to Defraud Commodity Pool Investors Washington, D.C. – The U.S. Commodity Futures…
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Federal Court Imposes Penalty and Restitution of More Than $1.3 Million against Manager at Worldwide Commodity Corporation in Commodity Options Fraud Case
... Release: 5293-07 For Release: February 16, 2007 Federal Court Imposes Penalty and Restitution of More Than $1.3 Million against Manager at Worldwide Commodity Corporation in Commodity Options Fraud Case Florida-based Defendant Bruce N. Crown Fraudulently Touted High Profits with Low Risk, While His Customers Lost Millions…
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California Commodity Trading Firm, Acceleration Capital, Settles Charges of Fraud and Misappropriation Based on Former Agent’s Activity
... Release: 5277-07 For Release: January 16, 2007 California Commodity Trading Firm, Acceleration Capital, Settles Charges of Fraud and Misappropriation Based on Former Agent’s Activity Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) today announced issuance of an order filing and settling charges of…
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Federal Court Orders Nicholas A. Guarino, Jr. and Wall Street Underground, Inc. to Pay Over $2 Million to Defrauded Customers and to Pay a $7 Million Fine for Fraudulently Promoting Commodity Trading Systems
… Centre Ordered to Pay Civil Penalties In earlier settlements, California resident Derek Abrahams was ordered …
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