We collected information about Cftc Complaints for you. There are links where you can find everything you need to know about Cftc Complaints.
https://cftc.gov/complaint
Customers may bring complaints against futures industry professionals registered with the CFTC at the time of the alleged wrongdoing or registered with the CFTC at the time the complaint is filed. Reparations cases are decided by a CFTC Judgment Officer.
https://www.cftc.gov/ConsumerProtection/RedressReparations/index.htm
File Complaint or Report Suspicious Activities. List of Foreign Entities That Have Been Identified as Acting in a Capacity That Appears to Require Registration but Are Not Appropriately Registered With the Commission. The Commodity Futures Trading Commission (CFTC) frequently receives leads and questions from the public about foreign entities ...
https://www.cftc.gov/Forms/tipsandcomplaints.html
Tips and Complaints: Forms and Submissions. This page contains forms and other documents related to filing a tip or complaint with the CFTC about potential violations of the Commodity Exchange Act or Commission regulations. Learn more about the CFTC’s market surveillance efforts in the Industry Oversight section.
https://forms.cftc.gov/Forms/TipsAndComplaints.aspx
Prior complaint to the CFTC. Complaint to another regulator. A state or federal criminal law enforcement entity. A legal action filed against the person or firm in a court of law. Additional comments based on above selection (e.g., Who, When, Contact, To whom made, Case Number, Court). 7. Provide a brief description about what you are ...
https://coinweek.com/bullion-report/cftc-complaint-monex-290-million-fraud/
Sep 08, 2017 · The CFTC lawsuit seeks to compel the companies and other involved parties to stop trading in precious metals and would prevent them from having trades made in …Author: Coinweek
https://www.cftc.gov/LawRegulation/Enforcement/EnforcementActions/index.htm
11 rows · The CFTC Division of Enforcement investigates and prosecutes alleged violations of the …
https://comments.cftc.gov/
Public Information Collection 85 FR 8577 // PDF Version. Agency Information Collection Activities: Notice of Intent To Extend Collection 3038-0101, Registration of Foreign Boards of Trade
https://www.whistleblower.gov/
Whistleblowers who submitted a tip, complaint, or referral (Form TCR) may be eligible to receive a percentage of the monetary sanctions collected in successful enforcement actions brought by the CFTC. The information must be voluntarily provided, original information that …
Tips and Complaints Forms and submissions information for filing tips and complaints. Designated Contract Markets Forms and submissions information for Designated Contract Markets (DCMs). Futures Commissions Merchants/Reporting Firms Forms and submissions information for Futures Commissions Merchants (FCMs). ... CFTC Headquarters Three ...
The laws authorizing CFTC’s activities and the regulations issued by CFTC to carry out those activities, as well as related rulemaking, enforcement, and adjudicatory references. Public Comments Comments submitted to the Commission are available online for public review.
https://www.law.cornell.edu/cfr/text/17/23.201
(a) Transaction and position records. Each swap dealer and major swap participant shall keep full, complete, and systematic records, together with all pertinent data and memoranda, of all its swaps activities.Such records shall include: (1) Transaction records. Records of each transaction, including all documents on which transaction information is originally recorded.
https://www.whistleblower.gov/aboutcftc/
CFTC Enforcement Overview. The Commission, through its Division of Enforcement, investigates violations of the Commodity Exchange Act (CEA) and the CFTC Regulations. Violations can be certain actions or behavior in connection with futures, options, and swaps and in connection for a contract of sale of any commodity in interstate commerce.
https://www.nfa.futures.org/ComplaintNet/complaint.aspx
Thank you for submitting your complaint to NFA. A member of NFA's Compliance Department will contact you detailing additional steps you can take to help NFA further pursue your complaint. If you have any questions regarding your complaint, please contact NFA's Information Center at 312-781-1410 or 800-621-3570
https://www.silverdoctors.com/gold/gold-news/monex-cftc-complaint-is-second-major-lawsuit-since-early-2000s/
Sep 11, 2017 · The CFTC Complaint charges the Defendants, among other claims, with defrauding thousands of retail customers nationwide out of hundreds of millions of dollars, while executing thousands of illegal, off-exchange leveraged commodity transactions.
https://forms.cftc.gov/Forms/Whistleblower.aspx
TIP, COMPLAINT OR REFERRAL. Please refer to the attached Submission Procedures and Completion Instructions as needed to help you complete this form. Or, to submit the form by mail or facsimile, print out the Form TCR and mail or fax the completed form to: CFTC, Whistleblower Office, 1155 21st Street, NW, Washington, DC 20581.
https://comments.cftc.gov/FederalRegister/Final.aspx
CFTC Headquarters Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 202.418.5000
https://www.whistleblower.gov/overview/submitatip/
How to Become a Whistleblower Eligible for Award. The first step to becoming eligible for a whistleblower award is for an individual or group of individuals to submit a tip, complaint, or referral on a Form TCR that contains information about a potential violation of the CEA. Whistleblowers can be anyone: corporate insiders, market observers, investors, customers, and fraud victims.
https://www.hbsslaw.com/cftc-whistleblowers
The CFTC Whistleblower Program permits whistleblowers to file an anonymous whistleblower complaint with help of qualified counsel. These complaints are confidential, and that protection is taken most seriously by the CFTC.
https://www.skadden.com/insights/publications/2018/02/cftc-and-doj-file-a-flurry-of-spoofing-actions
Feb 06, 2018 · On January 29, 2018, the Commodity Futures Trading Commission (CFTC) announced the filing of eight anti-spoofing enforcement actions: three settlements with financial institutions and five complaints filed in federal district court against six individuals and one corporation. 1 The cases were investigated by the CFTC’s new Spoofing Task Force, comprised of personnel from CFTC offices across the U.S., according to CFTC …
https://www.nfa.futures.org/ComplaintNet/download/FileAComplaint.pdf
purpose of trading futures contracts, options on futures, retail off-exchange foreign currency contracts or swaps, either directly or through another commodity pool. i. Name of pool: Enter the pool's full name as it appears on your account statement. 8. Other parties contacted about this complaint: Commodity Futures Trading Commission (CFTC)
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