Displaying results 821 - 830 of 1185
Commissioner Quintenz Named Sponsor of the Technology Advisory Committee
... September 18, 2017 Commissioner Quintenz Named Sponsor of the Technology Advisory Committee Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Commissioner Brian Quintenz will sponsor the CFTC’s Technology Advisory Committee (TAC). The TAC advises the CFTC on technological innovations in the markets and the appropriate regulatory response to…
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CFTC Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Two Energy Traders
... Release: 5258-06 For Release: November 17, 2006 U.S. Commodity Futures Trading Commission Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Two Energy Traders Defendants Christopher McDonald, a Former V.P. of West Trading at Mirant Americas Energy Marketing, L.P. (Mirant), and Michael Whalen, a…
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CFTC Wins Fraud Trial against Florida-Based Precious Metals Traders Robert Escobio, Southern Trust Metals, and Loreley Overseas Corporation
... September 1, 2016 CFTC Wins Fraud Trial against Florida-Based Precious Metals Traders Robert Escobio, Southern Trust Metals, and Loreley Overseas Corporation Escobio and His Companies are Permanently Banned from Commodity Trading and Registration, and Ordered to Pay Approximately $2.5 Million in Restitution and Penalties. Washington, DC – The U.S. Commodity Futures Trading…
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Chairman Gensler’s Statement of Support of the Dodd-Frank Rulemakings
... Statement of Support by Chairman Gary Gensler Internal Business Conduct I support the internal business conduct rule, which will lower the risk that swap dealers pose to the rest of the economy. These rules are the result of a critical reform in the Dodd-Frank Wall Street reform and Consumer…
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CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges
... February 8, 2013 CFTC Sanctions Gelber Group, LLC $750,000 for Trading Abuses on Two Exchanges Gelber falsely reported orders that caused non-bona fide prices to be…
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Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts and Making False Statements
... April 19, 2012 Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating…
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CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and Daniels Trading Group LLC to Pay $2 Million and Imposes Trading Prohibition for Violating Rough Rice Speculative Position Limits and Concealing Material Facts from the CME Group
... January 26, 2011 CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and Daniels Trading Group LLC to Pay $2 Million and Imposes Trading Prohibition for Violating Rough…
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CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets
... June 2, 2017 CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets CFTC Recognizes Liew’s Cooperation and Substantial Assistance in the Investigation, which Included Entering into a Cooperation…
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CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer Segregation Laws
... June 5, 2013 CFTC Files Complaint against U.S. Bank, N.A. Alleging Unlawful Use of Peregrine Financial Group, Inc.’s Customer Segregated Funds and Violation of Customer…
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2024-04938
… which lists certain disqualifying  offenses, suspensions, settlements, revocations, bars, and denials. … authorized to conduct hearings, render decisions, approve settlements,  and impose sanctions with respect to … authorized to conduct hearings, render decisions, approve settlements,  and impose sanctions with respect to …
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