Category: Commodity Trading Advisors

Commodity Trading Advisors (CTA) are financial professionals or firms registered with the Commodity Futures Trading Commission (CFTC) who provide advice and manage client accounts in commodity futures and options trading. CTAs are typically experts in analyzing commodity markets and use their expertise to develop trading strategies aimed at generating profits for their clients. They may advise on a range of commodities including agricultural products, metals, energy resources, and financial instruments tied to these markets. CTAs must adhere to regulatory standards, including disclosure requirements and maintaining fiduciary responsibilities towards their clients, ensuring transparency and accountability in their trading activities.

CFTC-PR-8950-24

Categories CFTC CFTC-24 CFTC-2408 Commodity Trading Advisors Federal News Sources Registration Failures

CFTC-PR-8950-24 (Aug. 26, 2024)

CFTC Orders Wisconsin Man to Pay Civil Monetary Penalty for Acting as an Unregistered Commodity Trading Advisor.

The Commodity Futures Trading Commission today announced it entered an order requiring Mark Hendershott, located in Wisconsin, to pay a $75,000 civil monetary penalty for acting as an unregistered commodity trading advisor (CTA).

CFPB News Release - CFTC-PR-8950-24

PR-8950-24

Date: Aug. 26, 2024

Accessed: Aug. 26, 2024

Source URL: https://www.cftc.gov/PressRoom/PressReleases/8950-24

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CFTC-PR-8950-24

CFTC-PR-8920-24

Categories Commodity Trading Advisors Registration Revocations

CFTC PUBLIC DOCUMENT - CFTC-PR-8920-24File ID: CFTC-PR-8920-24

Date: June 13, 2024

Accessed: June 21, 2024

Headline:  CFTC Permanently Revokes Registrations of Mississippi-based Commodity Trading Advisor and Associated Person.

Source: https://www.cftc.gov/PressRoom/PressReleases/8920-24

Categories:

  • COMMODITY TRADING ADVISOR (CTA)
  • REGISTRATION REVOCATIONS

CFTC-PR-8920-24 – Viewer: ▼▼▼ (Download PDF File ⊗)

CFTC-PR-8920-24

CFTC-PR-8876-24

Commodity Trading Advisors Registration Revocations

CFTC-PR-8876-24

CFTC Files Action to Permanently Revoke Registrations of Mississippi Man Convicted on Criminal Charges

CFTC News Release - CFTC-PR-8876-24

CFTC-PR-8876-24

Date: Mar. 13, 2024

Date Accessed: Aug. 1, 2024

Source URL:  https://www.cftc.gov/PressRoom/PressReleases/8876-24

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CFTC-PR-8876-24