Displaying results 91 - 100 of 1195
CFTC Orders Barclays to Pay $4 Million For Swap Reporting Violations
...WASHINGTON, D.C. — The Commodity Futures Trading Commission today announced an order filing and simultaneously settling charges against Barclays Bank PLC for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to swap reporting. Barclays is registered with the CFTC as a swap dealer.  The order requires Barclays to pay a $4 million civil monetary penalty, cease…
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Disciplinary History
...(function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start': new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0], j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src= 'https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f); })(window,document,'script','dataLayer','GTM-WVWR6GVX');  CFTC disciplinary history is made…
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CFTC ACCEPTS SETTLEMENT OFFER OF FORMER BRANCH MANAGER DARRYL M. OSLER IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS TO INVEST IN COMMODITY OPTIONS; Osler Agrees Never to Seek Registration or Exemption from Registration with the CFTC or Otherwise Engage in Activities Requiring Registration or Exemption from Registration
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CFTC Orders Swap Dealer to Pay $1.5 Million Penalty for Position Limit Violations, and Supervision and Position Limit Monitoring Failures
...WASHINGTON, D.C. — The Commodity Futures Trading Commission today issued an order filing and settling charges against Merrill Lynch Commodities, Inc., based in Houston, for exceeding the federal and ICE Futures U.S. position limits in contracts that reference natural gas futures traded on the New York Mercantile Exchange and for swap dealer supervision and position limit monitoring…
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CFTC SUSPENDS TWO FLOOR BROKERS FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settlement, Joseph Defrancesco Found to Have Engaged in Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices, and Marc Greenstein Found to Have Engaged in Noncompetitive Trading, Wash Sales, and Accommodation Trades
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CFTC ACCEPTS SETTLEMENT OFFERS OF FORMER REFCO PHONE CLERKS MARGARET DULL AND RICHARD MARISIE IN CONNECTION WITH ORDER-TAKING AND RECORDKEEPING VIOLATIONS; CFTC Order Restricts And Conditions Dull’s and Marisie’s Floor Activities For Two Years and Requires Them to Pay $15,000 Each in Civil Monetary Penalties
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Dissenting Statement of Commissioner Caroline D. Pham on Off-Channel Communications Enforcement Action
...Washington, DC – Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s settlement order regarding Piper Sandler Hedging Services LLC: “Once again, the CFTC has no evidence that a violation of CFTC recordkeeping rules for introducing brokers (IBs) actually occurred.[1] And, this case also piggybacks off the SEC’s…
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CFTC ACCEPTS OFFER OF SETTLEMENT FROM FORMER REGISTRANT TIMOTHY M. BENGSON IN CONNECTION WITH FRAUDULENT ALLOCATION SCHEME; CFTC Order Imposes A Permanent Trading Ban, Requires Him to Comply with Undertaking Never To Seek Registration And Requires Payment of A Civil Monetary Penalty of Up To $110,000, Pursuant To Payment Plan
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CFTC Institutes Administrative Proceedings Against and Accepts Offer of Settlement from Ross R. Godres of Lafayette, Colorado; CFTC Finds that Godres Defrauded Investors By Concealing Losses Resulting From the Trading of Precious Metal Futures Contracts on Behalf of a Commodity Pool, and Orders Restitution to Defrauded Investors, Among Other Sanctions
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR BROKERS, CHARGING THEM WITH FRAUDULENTLY EXECUTING GOLD OPTIONS TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and Philip Selby and Files An Administrative Complaint Against Timothy Murphy and Vincent Coppola
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