Search for: "U.S. Commodity Futures Trading Commission"
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18 Sep 2020, 9:55 am
Commodity Futures Trading Commission (CFTC) announced a whistleblower award issued to an individual whose tip exposed ongoing fraud. [read post]
15 Sep 2020, 11:48 am
On September 10, 2020, the Commodities Futures Trading Commission (CFTC) issued the latest in a series of circulars regarding corporate compliance released this summer by government agencies. [read post]
10 Sep 2020, 6:46 am
Commodity Futures Trading Commission (CFTC) obtained a final order resolving their charges against Dominick Vincent Carducci and his company VOS Capital Management, LLC (VOS Capital). [read post]
9 Sep 2020, 11:40 am
CFTC – “The Commodity Futures Trading Commission’s Climate-Related Market Risk Subcommittee of the Market Risk Advisory Committee (MRAC) today released a report entitled Managing Climate Risk in the U.S. [read post]
8 Sep 2020, 6:40 am
Commodity Futures Trading Commission (CFTC) announced a court order of default judgment in its case against Joshua Christian McDonald and his company, Perfection PR Firm LLC (PPR). [read post]
7 Sep 2020, 9:00 pm
Commodity Futures Trading Commission (CFTC) announced a court order of default judgment in its case against Joshua Christian McDonald and his company, Perfection PR Firm LLC (PPR). [read post]
26 Aug 2020, 11:16 am
Commodity Futures Trading Commission (CFTC) announced that a judge had entered a consent order resolving charges against the New York Mercantile Exchange (NYMEX) and former employees William Byrnes and Christopher Curtin. [read post]
25 Aug 2020, 6:12 am
Commodity Futures Trading Commission (CFTC) filed and settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM). [read post]
17 Aug 2020, 7:44 pm
Federal government entities such as the Consumer Product Safety Commission, the Commodities Futures Trading Commission, and the Federal Trade Commission all linked to LII. [read post]
14 Aug 2020, 8:48 am
In parallel actions, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) hit Interactive Brokers with penalties of $11.5 million and $15 million, respectively. [read post]
10 Aug 2020, 3:13 pm
And the Commodities Futures Trading Commission order can be found at https://www.findknowdo.com/sites/default/files/news/attachments/2020/07/enfplutosfinancialorder071320-(1).pdf. [read post]
Five years of CFTC’s virtual currency enforcement activities analyzed in Cornerstone Research report
7 Aug 2020, 7:33 am
The report noted that the majority of legal actions brought by the CFTC involved charges of fraudulent schemes, with 14 out of the 19 of those matters alleging the misleading of investors in the trading of commodities, commodity futures contracts or options. [read post]
3 Aug 2020, 4:38 pm
Commodity Futures Trading Commission (CFTC), and Veena Ramani, the Senior Program Director at Ceres, a leading non-profit sustainability organization. [read post]
1 Aug 2020, 4:01 pm
On July 31, 2020, the Federal Register published the final Volcker Rule covered funds amendments promulgated in June by the federal financial services regulators (the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, and the Commodity Futures Trading Commission). [read post]
29 Jul 2020, 1:19 pm
Postal Inspection Service The Commodity Futures Trading Commission (CFTC) The Justice Department U.S. [read post]
29 Jul 2020, 8:32 am
Commodity Futures Trading Commission (CFTC) announced a whistleblower award of approximately $9 million. [read post]
28 Jul 2020, 4:45 pm
The high valuations encouraged the creation of speculative “altcoins” (alternatives to Bitcoin) sold to investors in “ICOs” (initial coin offerings) until the Securities Exchange Commission and Commodity Futures Trading Commission took an increased interest, thus tamping down the euphoria. [read post]
28 Jul 2020, 6:14 am
The Dodd-Frank Act also required the establishment of the Securities and Exchange Commission (SEC) Whistleblower Program and the Commodity Futures Trading Commission (CFTC) Whistleblower Program. [read post]
22 Jul 2020, 12:46 pm
Commodity Futures Trading Commission (CFTC) announced that it will award more than $1 million to two whistleblowers who voluntarily provided original information that led to a successful enforcement action by the CFTC. [read post]
17 Jul 2020, 12:56 pm
The law provides a prison sentence of up to 25 years: Whoever knowingly executes, or attempts to execute, a scheme or artifice— (1) to defraud any person in connection with any commodity for future delivery, or any option on a commodity for future delivery, or any security of an issuer with a class of securities registered under… Securities Exchange Act of 1934… or (2) to obtain, by means of false or fraudulent pretenses, representations, or… [read post]
