Displaying results 841 - 850 of 1185
CFTC Files Eight Anti-Spoofing Enforcement Actions against Three Banks (Deutsche Bank, HSBC & UBS) & Six Individuals
...January 29, 2018 CFTC Files Eight Anti-Spoofing Enforcement Actions against Three Banks (Deutsche Bank, HSBC & UBS) & Six Individuals Washington, DC — The Commodity Futures Trading Commission today announced, in conjunction with the Department of Justice and Federal Bureau of Investigation’s Criminal Investigative Division, criminal and civil enforcement actions against…
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2020-10808
...Federal Register, Volume 85 Issue 114 (Friday, June 12, 2020)  [Federal Register Volume 85, Number 114 (Friday, June 12, 2020)] [Rules and Regulations] [Pages 35805-35806] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2020-10809…
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Supporting Statement of Commissioner Dan M. Berkovitz Regarding Historic Penalty against JPMorgan and Opposing “Bad Actor” Waiver
...I support today’s Commission action ordering JPMorgan[1] to pay $920 million—the largest monetary settlement in this agency’s history—for manipulating the precious metals and U.S. Treasury futures markets.  However, I oppose the CFTC’s determination that JPMorgan’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws, for the reasons…
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2013-26665
… in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain … in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain …
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2013-26665
… in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain … in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain …
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2013-26665
… in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain … in other time zones that cannot settle same day, or ACH settlements, or the requirement to settle or convert certain …
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Statement on Speculative Position Limits and Enhanced Transparency Initiatives
... Statement by Chairman Gary Gensler on Speculative Position Limits and Enhanced Transparency Initiatives July 7, 2009 The Commodity Futures Trading Commission is directed by statute and provided with broad authorities to ensure the fair, open, and efficient functioning of futures markets. Upon…
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Federal Court in Florida Orders James Burbage, Frank Gaudino, and Their Companies to Pay over $5 Million in Restitution and Penalties to Settle Charges Related to Illegal, Off-Exchange Precious Metals Transactions
... February 5, 2014 Federal Court in Florida Orders James Burbage, Frank Gaudino, and Their Companies to Pay over $5 Million in Restitution and Penalties to Settle Charges Related…
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CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil’s NYMEX-cleared Swaps Position
... November 14, 2017 CFTC Finds Statoil ASA Attempted to Manipulate the Argus Far East Index, a Propane Benchmark, to Benefit Statoil’s NYMEX-cleared Swaps Position Norwegian Energy Company Ordered to Pay a $4 Million Civil Monetary Penalty Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order…
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CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc.
... October 4, 2010 CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc. CFTC sanctions firms a total of $1.7 million and permanently bars Johnson from appearing or practicing before the CFTC. Washington, DC – The U.S. Commodity Futures…
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