Displaying results 41 - 50 of 183
CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets
… (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets CFTC recognizes HSBC’s Cooperation … with respect to certain futures products in gold and other precious metals traded on the Commodity Exchange, Inc. …
CFTC Orders the Bank of Nova Scotia to Pay $800,000 Penalty for Spoofing in the Precious Metals Futures Markets
… of Nova Scotia to Pay $800,000 Penalty for Spoofing in the Precious Metals Futures Markets Bank’s Penalty Was Substantially … BNS engaged in this activity by and through traders on its precious metals trading desk (Traders) from at least June …
CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets
… Penalty for Attempted Manipulation and Spoofing In the Precious Metals Futures Markets UBS’s Penalty Was Substantially … December 2013, UBS, by and through the acts of certain precious metals traders on the spot desk (Traders), …
CFTC Orders William J. Hionas and his Florida Firms, Pan American Metals of Miami and Pan American Metals of Miami Beach, to Pay Approximately $4.7 Million in Restitution and a Monetary Penalty for Fraudulent Off-Exchange Transactions in Precious Metals
… William J. Hionas and his Florida Firms, Pan American Metals of Miami and Pan American Metals of Miami Beach, to … Penalty for Fraudulent Off-Exchange Transactions in Precious Metals Washington DC – The U.S. Commodity Futures … illegal, fraudulent off-exchange financed transactions in precious metals with retail customers.  The Pan American …
CFTC Charges Florida Precious Metals Company Kastle & Hawke, Inc. and its Principals, James A. Ward and Nathaniel R. Walker, with Fraud
… March 30, 2011 CFTC Charges Florida Precious Metals Company Kastle & Hawke, Inc. and its Principals, … Commodity Futures Trading Commission (CFTC) today charged precious metals firm Kastle & Hawke, Inc. of Ft. Lauderdale, …
CFTC Orders Trading Firm Mitsubishi International Corporation to Pay $400,000 for Spoofing in the Precious Metals Futures Markets
… Corporation to Pay $400,000 for Spoofing in the Precious Metals Futures Markets  Washington, DC — The CFTC on Monday, … Corporation to Pay $400,000 for Spoofing in the Precious Metals Futures Markets …
CFTC Charges James Vorley and Cedric Chanu with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets
… and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets Washington, DC  – The Commodity … and engaging in a manipulative and deceptive scheme in the precious metals futures markets. CFTC’s Director of …
CFTC and 30 States Charge Los Angeles Precious Metals Dealers in Ongoing $185 Million Fraud Targeting the Elderly
… Court for the Northern District of Texas against two precious metals dealers and their companies for perpetrating a $185 … throughout the United States for the purpose of purchasing precious metals bullion. The defendants targeted a …
Federal Court Orders The Alista Group, LLC and Florida Man to Pay More Than $2.6 Million in Precious Metals Fraud
… which alleged that Alista and Pineda had engaged in precious metals fraud and illegal, off-exchange precious metals sales to retail customers. The order …
Federal Court Orders California Precious Metals Firm and Its Owners to Pay $38 Million for Commodity Fraud and Registration Violations
… “This settlement resolves a long-standing and significant precious metals case that CFTC Enforcement staff fiercely and … known as “Atlas,” which allowed customers to speculate on precious metals price movements, with Monex acting as the …