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). Date: Aug. […]
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.
File 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-8876-24 CFTC Files Action to Permanently Revoke Registrations of Mississippi Man Convicted on Criminal Charges Date: Mar. 13, 2024 Date Accessed: Aug. 1, 2024 Source URL: https://www.cftc.gov/PressRoom/PressReleases/8876-24 Categories: CFTC-2403 Commodity Trading Advisors Registration Revocations PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be downloaded if you wish. All […]