17 C.F.R. § 33.10
Fraud in connection with commodity option transactions
It shall be unlawful for any person directly or indirectly:
(a) To cheat or defraud or attempt to cheat or defraud any other person;
(b) To make or cause to be made to any other person any false report or statement thereof or cause to be entered for any person any false record thereof;
(c) To deceive or attempt to deceive any other person by any means whatsoever
Notes of Decisions
Cited in 30
cases (3 in the last 5 years), 1991–2024 · leading case: Securities & Exchange Commission v. Lee
Securities & Exchange Commission v. Lee (2010)
“10, 17 C.F.R. § 33.10 promulgated thereunder.”
Commodity Futures Trading Commission v. R.J. Fitzgerald & Co. (2002)
“§ 6c(b), 17 C.F.R. § 33.10 (a) and (c), 17 C.F.R. § 166.”
Commodity Futures Trading Commission v. Rosenberg (2000)
“§§ 6b(a)(i)-(iii), 6c(b) and 17 C.F.R. § 33.10 (1999); (2) unlawfully converted Stollenwerck’s money in violation of 7 U.”
Commodity Futures Trading Commission v. Levy (2008)
“§ 6c(b) 5 and 17 C.F.R. § 33.10 (2005). 6 Specifically, the complaint alleged, among other things, that the Defendants “fraudulently solicited members of the public to open [accounts] by misrepresenting and failing to disclose material facts concerning .”
Commodity Futures Trading Commission v. Wilshire Investment Management Corp. (2008)
“§ 6c(b) (2000) and 17 C.F.R. § 33.10 (2000), which make it unlawful for any person to “cheat or defraud or attempt to cheat or defraud any other person” or to “deceive or attempt to deceive any other person by any means whatsoever” in commodity option transactions.”
In Re NEXT Financial Group, Inc. (2008)
“2002) (referencing 17 C.F.R. 33.10(a)). Churning violates anti-fraud provisions of the federal securities laws and SEC regulations.”
Commodity Futures Trading Commission v. Wilshire Investment Management Corp. (2005)
“Specifically, the CFTC alleges that Defendants violated 17 C.F.R. § 33.10 (a) & (c) (2003) which makes it unlawful for any person directly or indirectly: (a) To cheat or defraud or attempt to cheat or defraud any other person; .”
U.S. Commodity Futures Trading Commission v. Arrington (2014)
“§ 6c(a)(1); 17 C.F.R. § 33.10 (repealed June 26, 2012).”
Commodity Futures Trading Commission v. Mass Media Marketing, Inc. (2002)
“The CFTC filed a complaint against Advertisers alleging that they used fraudulent advertisements and infomercials to solicit potential customers to invest in commodity options, which violated certain registration and record-retention regulations issued by the CFTC, 17 C.F.R. §…”
Commodity Futures Trading Commission v. Risk Capital Trading Group, Inc. (2006)
“§ 6c(b), and 17 C.F.R. § 33.10 , in soliciting customers to buy and sell commodity futures contracts and options on commodity futures contracts.”
Commodity Futures Trading Commission v. R.J. Fitzgerald & Co. (2001)
“§ 6c(b), 17 C.F.R. § 33.10 (a) and (c), 17 C.F.R. § 166.”
Howard Miller v. Commodities Futures Trading Commission (1999)
“10, 17 C.F.R. § 33.10 . Without further analysis, the ALJ ordered Miller to cease and desist from further violations, revoked his registration as an AP, banned him forever from commodity options trading and imposed a civil penalty of $200,000.”
— 17 C.F.R. § 33.10(a) — 1 case
In Re NEXT Financial Group, Inc. (2008)
“2002) (referencing 17 C.F.R. 33.10(a)). Churning violates anti-fraud provisions of the federal securities laws and SEC regulations.”
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