Displaying results 831 - 840 of 1195
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 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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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 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 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 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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Keynote Remarks of Commissioner Brian D. Quintenz before the Symphony Innovate 2017 Conference
… for Banks and Bank Supervisors,” Bank for International Settlements, Basel Committee on Banking Supervision, August …
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Remarks of Commissioner James E. Newsome, before the National Cattlement's Beef Association Annual Convention and Trade Show Live Cattle Marketing Committee, Phoenix, Arizona
...Remarks of Commissioner James E. Newsome, before the National Cattlement's Beef Association Annual Convention and Trade Show Live Cattle Marketing Committee, Phoenix, Arizona January 27, 2000 Introduction Thank you. I appreciate the invitation to speak with you today. I would like to thank Lemmy Wilson for his leadership of this committee and of his willingness to participate in the…
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Remarks of Chairman James E. Newsome before the Electric Power Supply Association, Washington, DC
...Remarks of Chairman James E. Newsome before the Electric Power Supply Association, Washington, DC October 23, 2002 Thank you, Mike, for that introduction. I was pleased to be invited here today. These are both challenging and exciting times for the derivatives markets and I am honored to be at the Commodity Futures Trading Commission at this point in history. I would like to share with…
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