17 C.F.R. § 1.2
Liability of principal for act of agent
The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.
Notes of Decisions
Cited in 20
cases (7 in the last 5 years), 1981–2025 · leading case: Commodity Futures Trading Comm'n v. Sterling Trading Grp., Inc., 605 F. Supp. 2d 1245 (S.D. Fla. 2009).
Commodity Futures Trading Comm'n v. Sterling Trading Grp., Inc., 605 F. Supp. 2d 1245 (S.D. Fla. 2009). “2, 17 C.F.R. § 1.2 and Sections 2(a)(1)(B) and 13(b) of the CEA, 7 U.”
Commodity Futures Trading Comm'n v. Gibraltar Monetary Corp., 575 F.3d 1180 (11th Cir. 2009). “*1182 PER CURIAM: Appellant, the Commodity Futures Trading Commission (“CFTC”), appeals from the district court’s non-jury trial order granting judgment in favor of Appellee, Forex Capital Markets (“FxCM”), on the CFTC’s claim that FxCM should be held vicariously liable under 17…”
Commodity Futures Trading Comm'n v. McDonnell, 332 F. Supp. 3d 641 (E.D.N.Y 2018). “2, 17 C.F.R. § 1.2 , impose strict liability on a principal for acts and omissions by its agent who acts within the scope of their employment or office.”
JCC, Inc. v. Commodity Futures Trading Comm'n, 63 F.3d 1557 (11th Cir. 1995). “2 of the Commission’s regulations, 17 C.F.R. § 1.2 . As EDCO was acting as an agent and guaranteed introducing broker for JCC at all relevant times, the complaint also alleged that JCC was liable as a principal for the acts of EDCO under § 2(a)(1)(A) of the Act and § 1.”
United States Commodity Futures Trading Comm'n v. Driver, 877 F. Supp. 2d 968 (C.D. Cal. 2012). “§ 2 (a)(1)(B) and 17 C.F.R. § 1.2 . V. REMEDIES Pursuant to the Court’s finding of liability, the CFTC seeks both restitution and permanent injunctive relief to remedy Defendants’ pervasive violations of the Commodity Exchange Act.”
Strax v. Commodity Exch., Inc., 524 F. Supp. 936 (S.D.N.Y. 1981). “Specifically, they contend that they cannot be liable for allegedly allowing the Hunts to “pyramid” their silver holdings (Complaint ¶31(gg)) because they were required by the CEA to “treat a customer’s trading profits as the property of that customer” under 17 C.F.R. § 1.2…”
U.S. Commodity Futures Trading Comm'n v. PMC Strategy, LLC, 903 F. Supp. 2d 368 (W.D.N.C. 2012). “PMC is Liable Under Section 2(a)(1)(B) of the Act and Regulation 1.2 Bailey committed the acts and omissions described herein within the course and scope of his employment at PMC.”
U.S. Commodity Futures Trading Comm'n v. Arrington, 998 F. Supp. 2d 847 (D. Neb. 2014). “§ 2(a)(1)(B), and 17 C.F.R. § 1.2 (2013). . The amount of loss to each victim was evaluated by Stephen B.”
Commodity Futures Trading Comm'n v. Sidoti, 178 F.3d 1132 (11th Cir. 1999). “2, codified at 17 C.F.R. § 1.2 ; 2. Wuensch individually with liability for Trinity’s and Carrington’s fraud, as an aider and abettor, pursuant to Section 13(a) of the Act, codified at 7 U.”
U.S. Commodity Futures Trading Comm'n v. Wilson, 19 F. Supp. 3d 352 (D. Mass. 2014). “§ 2 (a)(1)(B), and 17 C.F.R. § 1.2 . If a person claims exemption from the requirement under one of the articulated exceptions, he or she must still file an electronic notice with the NFA.”
Moss v. J.C. Bradford & Co., 446 S.E.2d 799 (N.C. 1994). “These range from provisions governing a principal’s liability for the conduct of those acting on his or her behalf, see 17 C.F.R. § 1.2 (1993), to provisions regarding the bankruptcy of a commodities merchant.”
Commodity Futures Trading Comm'n v. Bryant (W.D.N.C. 2024). “§ 2 (a)(1)(B) and 17 C.F.R. § 1.2 Under Section 2(a)(1)(B) of the Act, 7 U.”
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