Showing posts with label DODD-FRANK. Show all posts
Showing posts with label DODD-FRANK. Show all posts
Wednesday, May 28, 2014

COURT ORDERS OWNERS, COMPANIES TO PAY $108 MILLION RELATED TO PRECIOUS METALS FRAUD SCHEME

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Wins Fraud Trial against Hunter Wise Related Precious Metals Firms and Their Owners ...
Sunday, May 18, 2014

FLORIDA COMPANY CHARGED WITH MAKING ILLEGAL, OFF-EXCHANGE PRECIOUS METALS TRANSACTIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION CFTC Charges Florida-Based Palm Beach Capital LLC and Lawrence Scott Spain with Engaging in I...
Monday, May 12, 2014

SEC COMMISSIONER GALLAGHER'S REMARKS AT ROCKY MOUNTAIN SECURITIES CONFERENCE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Remarks at the 46th Annual Rocky Mountain Securities Conference Share on printShare on ...
Sunday, March 30, 2014

SEC COMMISSIONER GALLAGHER ON FEDERAL PREEMPTIONS OF STATE CORPORATE GOVERNANCE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Remarks at the 26th Annual Corporate Law Institute, Tulane University Law School: Federal P...
Saturday, March 22, 2014

CFTC CHARGES COMPANY, OWNER WITH ILLEGAL, OFF-EXCHANGE TRANSACTIONS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Charges Florida-Based Gold Distributors Inc. and Its Owner, Jordan Cain, with Engaging in...
Wednesday, March 5, 2014

SEC COMMISSIONER GALLAGHER'S REMARKS AT INSTITUTE OF INTERNATIONAL BANKERS CONFERENCE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Remarks Given at the Institute of International Bankers 25th Annual Washington Conference  Comm...
Friday, February 7, 2014

CFTC CHAIRMAN WETJEN'S TESTIMONY BEFORE SENATE COMMITTEE

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FROM:  COMMODITY FUTURES TRADING COMMISSION   Testimony of Acting Chairman Mark P. Wetjen Before the U.S. Senate Committee on Banking, Hou...