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2011 Enforcement Press Releases

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Date
Press Releases
12/19/2011
CFTC Issues Final Order Amending the Effective Date for Swap Regulation, 6161-11
12/19/2011
Michigan Federal Court Orders Jeffrey L. Groendyke and JG Forex Fund to Pay over $1.4 Million for Operating a Forex Ponzi Scheme, 6160-11
12/16/2011
Commissioner Jill E. Sommers Responds to Concerned Customers of MF Global, Inc., 6159-11
12/14/2011
CFTC Settles False Reporting Charges against Mark Vanderploeg and his Companies Involving Grain Elevators and Cooperatives in Five Midwestern States, 6158-11
12/13/2011
CFTC to Hold Open Meeting to Consider Three Final Rules, 6157-11
12/07/2011
CFTC’s Division of Market Oversight Issues Guidebook for Part 20 Reports, 6156-11
12/07/2011
CFTC Charges Pro Trading Course, LLC, and Richard Regan with Solicitation Fraud, 6155-11
12/07/2011
CFTC Orders Merrill Lynch Commodities, Inc. to Pay $350,000 Civil Penalty for Violating Cotton Futures Speculative Position Limits, 6154-11
12/07/2011
CFTC Announces Public Meeting of the Technology Advisory Committee, 6153-11
12/06/2011
CFTC Charges San Diego Resident Charles Steven Goodie and His Company, CSG Commodity Services Group, with Commodity Pool Fraud, 6152-11
12/02/2011
CFTC Issues Interpretation Concerning Dodd-Frank Anti-Fraud Authority, 6151-11
12/01/2011
CFTC Charges Brant L. Rushton and Melissa C. Rushston and their Company, Summit Trading & Capital LLC, with Misappropriation and Issuing False Statements in Fraudulent Commodity Scheme , 6150-11
11/30/2011
CFTC Charges Mississippi Residents Gary and Bradley Futch and Their Company, Tradewind Investments, LLC, with Commodity Options Fraud , 6149-11
11/28/2011
CFTC to Hold Open Meeting to Consider Two Final Rules and Two Proposals, 6148-11
11/28/2011
CFTC Orders London-based Enskilda Futures Ltd. and Its Swedish Principal, Skandinaviska Enskilda Banken AB, to Pay a $150,000 Civil Penalty for Supervision Violations, 6147-11
11/23/2011
Federal Court Orders Wisconsin-based Forex Dealer Jacob Juma Omukwe and His Companies to Pay over $2.6 Million in Restitution and Penalties in Foreign Currency Scheme, 6146-11
11/22/2011
CFTC Seeks Public Comment on Request from ICE Clear Credit for Order Permitting Portfolio Margining of Swaps and Security-Based Swaps in a Customer Account, 6145-11
11/18/2011
CFTC’s Division of Market Oversight Issues Letter to Market Participants Requiring Compliance with New Large Trader Reporting System for Physical Commodity Swaps and Swaptions, 6144-11
11/16/2011
CFTC Supports Prompt Initiation of MF Global Customer Claims and Moving “Cash-Only” Accounts, 6143-11
11/16/2011
CFTC Charges California Residents Robert Cannone, Thomas Breen, and Francis Franco and Their Company, National Equities Holdings, Inc. with $1.4 Million Commodity Pool Fraud, 6142-11
11/16/2011
CFTC Files Enforcement Actions against International Commodity Advisors, ProfitStars Int’l Corp., and Paragon FX Enterprises, Alleging Violations of the Commodity Exchange Act and Forex Regulations, pr6141-11
11/10/2011
CFTC Commissioner Jill E. Sommers to Act as Senior Commissioner for the Agency in Any Matters Relating to the Bankruptcy of MF Global, Inc., 6140-11
11/09/2011
CFTC Orders South Florida Resident Alan A. Grant and his Company, Francis Grant Investments Inc., to Pay $500,000 in Forex Fraud Charges, pr6139-11
11/09/2011
CFTC Sanctions Velocity Futures, LLC, for Supervision Violations, 6138-11
11/09/2011
CFTC Charges GID Group, Inc., Rodney and Roger Wagner with Fraud and Misappropriation in Connection with a $5.5 Million Forex Ponzi Scheme, 6137-11
11/09/2011
CFTC Charges Denver Man Nicholas Trimble and His Two Companies with Solicitation Fraud and Misappropriating Customer Funds in Million Dollar Foreign Currency Scheme, 6136-11
11/04/2011
CFTC Obtains Orders against Patrick Rakotonanahary and his Company, Cyber Market Group LLC, for Defrauding Customers in a Multi-Million Dollar Foreign Currency Ponzi Scheme, 6135-11
11/04/2011
Court Orders Jeffery A. Lowrance and His Company to Pay More than $4.5 Million for Operating Foreign Currency Ponzi Scheme, 6134-11
11/04/2011
CFTC Statement Regarding Enforcement Investigation of the Silver Markets,
11/01/2011
Federal Court Orders Charlotte, NC, Couple and Their Companies to Pay $24 Million for Defrauding Customers in Foreign Currency Ponzi Scheme, 6133-11
10/31/2011
CFTC-SEC Statement on MF Global,
10/31/2011
CFTC and SEC Approve Confidential Private Fund Risk Reporting, 6132-11
10/31/2011
CFTC Designates Eris Exchange, LLC as a Contract Market, 6131-11
10/27/2011
North Carolina Federal Court Orders Rodney W. Whitney, Nicholas T. Cox, and Integra Capital Management, LLC, to Pay Over $6.9 Million for Ponzi Scheme, 6130-11
10/26/2011
CFTC Seeks to Revoke or Suspend the Registration of Raleigh Capital Management, Inc., 6129-11
10/26/2011
CFTC Files Anti-Fraud Action against Idahoan Michael Justin Hoopes for Operating a Multi-Million Dollar Ponzi Scheme that Defrauded Mostly Idaho Residents, 6128-11
10/25/2011
CFTC Charges Texas Residents Linda Harris, Chance Harris and Two of Their Companies with Solicitation Fraud, Misrepresentation, and Misappropriation in Multi-Million Dollar Forex Scheme, 6127-11
10/25/2011
CFTC Staff Allows Taiwan Futures Exchange’s Futures Contract Based on the GreTai Securities Market Capitalized Weighted Stock Index (“GTEX”) To Be Offered and Sold in the United States, 6126-11
10/19/2011
CFTC Obtains Permanent Injunction against California Resident Scott Bottolfson and His Two Companies for Defrauding Customers in Multi-Million Dollar Commodity Pool Ponzi Scheme, 6125-11
10/11/2011
CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Amendment, 6124-11
10/11/2011
CFTC Obtains Default Judgment against North Carolina Foreign Currency Firm Barki LLC in a $38 Million Ponzi Scheme, 6123-11
10/11/2011
Federal Court Orders Texas Resident Ray M. White and CRW Management LP to Pay More than $19 Million for Defrauding Customers and Misappropriating Millions of Dollars in Forex Fraud, 6122-11
10/06/2011
CFTC Releases Annual Enforcement Results, 6121-11
10/04/2011
Federal Court Orders Convict Perry Jay Griggs and His Wife to Pay $2.1 Million Civil Penalty for Multi-Million Dollar Commodity Pool Fraud and Misappropriation, 6120-11
10/03/2011
Forex Capital Markets LLC Ordered to Pay More Than $14.2 Million to Settle CFTC Charges Relating to Its Failure to Supervise Customer Accounts , 6119-11
09/30/2011
CFTC Charges Oscar Hernandez and His Florida Companies with Operating $3 Million Commodity Pool Ponzi Scheme , 6118-11
09/29/2011
CFTC Requests Public Comment on an Application by Eurex Clearing AG for Registration as a Derivatives Clearing Organization, 6117-11
09/28/2011
CFTC Announces Second Public Meeting of the Technology Advisory Subcommittee on Data Standardization, 6116-11
09/28/2011
CFTC Charges Alpha Trade Group, S.A. and Six Individuals with Fraud and Misappropriation in Connection with a $1.7 Million Foreign Currency and Futures Scheme , 6115-11
09/22/2011
CFTC Charges National Accounting Firm McGladrey & Pullen, LLP, and Partner David Shane with Failure to Properly Audit One World Capital Group, a Former Registered Futures Commission Merchant, 6114-11
09/16/2011
Division of Market Oversight Provides Temporary Relief from Large Swaps Trader Reporting for Physical Commodities, 6113-11
09/15/2011
CFTC Charges California Resident James D. Crombie and Paron Capital Management, LLC with Making False, Fictitious, or Fraudulent Statements to the National Futures Association, 6112-11
09/15/2011
CFTC Will Not Hold September 22, 2011, Meeting, 6111-11
09/09/2011
CFTC Charges North Carolina Resident Toby D. Hunter and Two of His Companies with Fraud and Misappropriation in Multi-Million Dollar Commodity Scheme, 6110-11
09/08/2011
CFTC Charges Massachusetts Man Jeffrey Liskov and His Company, EagleEye Asset Management, LLC, with Committing a $3 Million Forex Fraud, 6109-11
09/08/2011
CFTC Sues 11 Foreign Currency Firms in Second Nationwide Sweep Against Unregistered Firms, 6108-11
09/06/2011
CFTC Grants CME Clearing Europe Limited Registration as a Derivatives Clearing Organization, 6107-11
09/06/2011
The CFTC Announces Appointment of John Rogers as Chief Information Officer, 6106-11
09/02/2011
CFTC Staff Allows Euronext Brussels’ Futures Contract Based on the BEL 20 Index to be Offered and Sold in the United States, 6105-11
09/01/2011
CFTC to Hold Open Meeting to Consider Two Proposed Rules under Dodd-Frank Act, 6104-11
09/01/2011
CFTC Charges North Carolinian Roy Scarboro, Jr. with Solicitation Fraud and Misappropriating Customer Funds in Forex Scheme, 6103-11
09/01/2011
Gensler Op-Ed: CFTC Eager to Clean Up Swaps Market, 6102-11
08/31/2011
CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange and the Commodity Exchange, 6101-11
08/31/2011
CFTC Obtains Final Judgment against Italian National Carmine Garofalo Charged with Illegal Trading , 6100-11
08/25/2011
Chicago-Based Floor Broker Craig Taffel Pays $180,000 Civil Monetary Penalty to Settle Charges that He Acted as an Unregistered Futures Commission Merchant, 6099-11
08/25/2011
Chicago Futures Commission Merchant Tenco, Inc. Settles CFTC Charges that it Failed to Diligently Supervise and Placed Trades Without Proper Authorization, 6098-11
08/25/2011
CFTC Orders Dearborn Trading, Inc. and Joel Bronstein of Chicago, Illinois to pay $180,000 Civil Penalty for Failing to File Pool’s Closing Annual Report, 6097-11
08/22/2011
CFTC Charges Douglas Elsworth Wilson and Three California Companies with Solicitation Fraud, Misappropriating Customer Funds, and Issuing False Statements in Multi-Million Dollar Commodity Futures and Forex Scheme, 6096-11
08/22/2011
The CFTC Announces Appointment of Gary Barnett as Swaps Division Director, 6095-11
08/19/2011
CFTC’s Office of Chief Economist to Host Conference on Commodity Markets, 6094-11
08/19/2011
CFTC and SEC Seek Public Input for Joint Study on Stable Value Contracts, 6093-11
08/18/2011
CFTC Receives Major Award for FY 2010 Performance and Accountability Report, 6092-11
08/10/2011
CFTC Charges Blue Sky Capital Management Corp. and Gregory M. Schneider with Making False Statements to the National Futures Association, 6091-11
08/08/2011
Federal Court Finds that St. Augustine, Florida, Couple and Their Company Defrauded Customers in Off-Exchange Foreign Currency Scheme, 6090-11
08/08/2011
Federal Court Orders Moroccan National and Former Citigroup Trader Otmane El Rhazi to Pay Over $1.49 Million for Unlawful Trading and Misappropriation from a Citibank, N.A. Proprietary Account , 6089-11
08/05/2011
CFTC Charges Tampa Resident Anthony J. Klatch II and Four Other Defendants with Fraudulently Soliciting over $11.3 Million, 6088-11
08/03/2011
London-based Forex Capital Markets Ltd. Ordered to Pay $140,000 Penalty to Settle CFTC Charges of Acting as an Unregistered Retail Forex Exchange Dealer, 6087-11
07/28/2011
Federal Court in California Orders Ruben Gonzalez, Jose Naranjo, and their Company to Pay over $8 Million for Operating Ponzi Scheme and Misappropriation, 6086-11
07/28/2011
CFTC to Hold Open Meeting to Consider Three Final Rule Proposals, 6085-11
07/28/2011
CFTC Commissioner Scott D. O’Malia Seeks Public Comment on the Review of Swaps for Mandatory Clearing, 6084-11
07/28/2011
CFTC Charges Susan G. Davis, David E. Howard II, Joseph Burgos, and their Companies with Fraud in Off-Exchange Foreign Currency Scheme, 6083-11
07/27/2011
Federal Court in Illinois Orders Jay C. Nolan and His Company, Lodge Capital Group, LLC, to Pay $825,000 Civil Monetary Penalty for Multi-Million Commodity Pool Fraud Scheme, 6082-11
07/26/2011
CFTC Chairman Gary Gensler Announces Appointment of Tony Thompson as Executive Director, 6081-11
07/25/2011
CFTC Announces First Public Meeting of the Technology Advisory Subcommittee on Data Standardization, 6080-11
07/25/2011
Christopher L. Pia, Former Portfolio Manager for Hedge Fund Moore Capital Management, LLC, to Pay $1 Million Penalty to Settle CFTC Charges of Attempted Manipulation, 6079-11
07/25/2011
U.S. Regulators Seek Public Input for a Joint CFTC-SEC Study on International Swap Regulation, 6078-11
07/21/2011
Federal Court in Texas Orders Jeremiah C. Yancy and His Company to Pay More than $2 Million for Foreign Currency Ponzi Scheme and Misappropriation, 6077-11
07/21/2011
CFTC and SEC Staffs to Host Public Roundtable to Discuss International Issues relating to the Implementation of Title VII of the Dodd-Frank Act, 6076-11
07/19/2011
Ecoval Dairy Trade, Inc. Ordered to Pay $1,425,000 Penalty to Settle CFTC Charges of Attempted Manipulation of Non Fat Dry Milk Futures Prices, 6075-11
07/15/2011
CFTC Charges Jeffery A. Lowrance and His Company, First Capital Savings and Loan, with Operating a Million Dollar Foreign Currency Ponzi Scheme, 6074-11
07/14/2011
CFTC Clarifies Effective Date for Swaps Regulation Under the Dodd-Frank Act, 6073-11
07/13/2011
Federal Court in Illinois Orders Joseph A. Dawson to Pay $2.1 Million Penalty for Commodity Pool Fraud and Misappropriation, 6072-11
07/13/2011
CFTC Charges Robert S. Moss of North Carolina with Commodity Pool Fraud and Misappropriation, 6071-11
07/12/2011
CFTC to Hold Open Meeting to Consider Four Final Rule Proposals and One Proposed Rule under the Dodd-Frank Act, 6070-11
07/12/2011
CFTC Obtains Default Judgment and Permanent Injunction against Florida Resident David L. Ortiz and His Companies for Defrauding Customers in Off-Exchange Foreign Currency Scam, 6069-11
07/08/2011
CFTC Charges CIS Commodities LLC and Allen N. Ward with Misappropriation of Customer Funds and also Charges CIS, Ward, Trans Global Investments, LLC and Charles Leroy Timberlake with Misrepresentation and Issuing False Statements, 6068-11
07/07/2011
Texas Federal Court Issues Order Freezing Assets of Mark Rice and His Houston Company, Financial Robotics, 6067-11
07/05/2011
CFTC Publishes Two New Data Sets on Daily Net Position Changes, 6066-11
06/30/2011
CFTC Charges Grand Island, Nebraska Resident with Fraud and Records Violations in Connection with $4 Million Commodity Pool, 6065-11
06/30/2011
CFTC to Hold Open Meeting on Five Final Rule Proposals under the Dodd-Frank Act, 6064-11
06/30/2011
CFTC Charges Colorado-based Flint-McClung Capital LLC and Shawon McClung with Fraud and Misappropriation in $1.9 Million Off-Exchange Foreign Currency Ponzi Scheme, 6063-11
06/30/2011
Draft Staff No-Action Letter Regarding the Application of Certain CEA Provisions after July 16, 2011 Available on CFTC Website, 6062-11
06/30/2011
CFTC Charges Two Air Traffic Controllers and Commodity Trader Michael Gomez with Fraud and Misappropriation in $1.4 Million Dollar Off-Exchange Foreign Currency Scheme, 6061-11
06/28/2011
CFTC Staff to Host Public Roundtable to Discuss Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors, 6060-11
06/28/2011
CFTC Staff Allows Bursa Malaysia Derivatives Berhad’s Futures Contract Based on the FTSE Bursa Malaysia Kuala Lumpur Composite Index To Be Offered and Sold in the United States, 5069-11
06/27/2011
CFTC Orders Mark Adrian of Florida to Pay $140,000 Civil Penalty in Fraudulent Foreign Currency Scheme, 6058-11
06/24/2011
CFTC Charges Juvenal Machado and Florida-based Invers Forex, LLC with Defrauding Foreign Currency Customers of Almost $800,000 in Ponzi Scheme, 6057-11
06/23/2011
CFTC Announces Members of the Technology Advisory Subcommittee on Data Standardization, 6056-11
06/20/2011
CFTC Obtains Default Judgment and Permanent Injunction against ForInvest Group aka ForInvests Group LLC for Violating Multiple CFTC Registration Requirements, 6055-11
06/15/2011
Federal Court in Florida Orders Capital Blu Management, LLC, Donovan Davis Jr., Damien Bromfield, Blayne Davis and DD International Holdings, LLC to Pay More than $17 Million for Committing Fraud, 6054-11
06/15/2011
CFTC Charges Victor E. Cilli and his company, Progressive Investment Funds LLC, with Operating a Commodity Pool Ponzi Scheme and Misappropriating Customer Funds, 6053-11
06/10/2011
CFTC and SEC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions under Dodd-Frank Act, 6052-11
06/07/2011
CFTC Revokes Registrations of Texas-based M25 Investments, Inc. and M37 Investments, LLC, 6051-11
06/07/2011
CFTC to Hold Open Meeting to Consider Effective Dates of Provisions in the Dodd-Frank Act, 6050-11
06/07/2011
CFTC Charges Neal E. Hall of North Carolina with Registration and Disclosure Violations, 6049-11
06/03/2011
CFTC Recognized for Fiscal Accountability and Transparency, 6048-11
06/01/2011
Federal Court Orders Moroccan Resident Richmond Hamilton, Jr., and Chicago Commodity Pool Operator Raleigh Capital Management, Inc. to Pay More than $4 Million in Restitution and a Civil Monetary Penalty for Misappropriation & False Statements to the NFA, 6047-11
05/26/2011
Federal Court in Texas Orders Richard D. Theye to Pay More than $6.2 Million for Defrauding Investors in a Multi-Million Dollar Ponzi Scheme, 6046-11
05/26/2011
CFTC Charges Nebraska Residents Jonathan W. Arrington, Michael B. Kratville and Michael J. Welke and their Companies with $4.7 Million Fraud, 6045-11
05/26/2011
CFTC Staff to Host Public Roundtable to Discuss Swap Data Recordkeeping and Reporting Requirements, 6044-11
05/25/2011
CFTC Staff to Host Public Roundtable to Discuss Protection of Cleared Swaps Customer Collateral, 6043-11
05/25/2011
CFTC Sanctions Cadent Financial Services LLC $125,000 for Supervision Violations, 6042-11
05/24/2011
CFTC Charges Parnon Energy Inc., Arcadia Petroleum Ltd. and Arcadia Energy (Suisse) SA with Price Manipulation in the Crude Oil Market, 6041-11
05/17/2011
CFTC Charges Florida Firm, American Precious Metals, LLC, and Principals, Sammy J. Goldman and Harry Robert Tanner, Jr., with Fraud, 6040-11
05/16/2011
CFTC Charges Puerto Rico Resident Angel F. Collazo and ACJ Capital, Inc. with Solicitation Fraud and Issuing False Statements in Off-Exchange Leveraged Foreign Currency Scheme, 6039-11
05/16/2011
CFTC’s Agricultural Advisory Committee to Meet May 19, 2011, 6038-11
05/12/2011
CFTC Settles Charges against FX Trading, LLC for Failing to Maintain Minimum Net Capital Required for Futures Commission Merchants, 6037-11
05/09/2011
Federal Court Orders Russian National Marat Yunusov to Pay $500,000 Civil Monetary Penalty for Illegal Commodity Futures Trading Scheme, 6036-11
05/09/2011
CFTC Chairman Gary Gensler Announces Appointment of Steven Adamske as Director of Public Affairs, 6035-11
05/04/2011
CFTC Charges Michigan Man Jeffrey L. Groendyke with Operating a Foreign Currency Ponzi Scheme and Misappropriating Customer Funds, 6034-11
05/04/2011
Commodity Futures Trading Commission Votes to Establish a New Subcommittee of the Technology Advisory Committee (TAC), 6033-11
05/02/2011
CFTC Permanently Bars Former CME Floor Broker Thorbjorn Haveman from Trading for Misappropriation and Fictitious, Noncompetitive and Unauthorized Trading , 6032-11
05/02/2011
CFTC Sanctions New York Resident Howard Winell and His Companies, Winell Associates, Inc., and Maxie Partners GP, LLC, More than $5.2 Million for Fraud, 6031-11
04/29/2011
CFTC Staff Provides Concepts and Questions Document Ahead of Joint CFTC-SEC Public Roundtable Discussion on Dodd-Frank Implementation, 6030-11
04/28/2011
CFTC Files Anti-Fraud Action against California Companies 20/20 Trading Company, Inc. and 20/20 Precious Metals, Inc. and their Employees, Bharat Adatia, Sharief McDowell and Todd Krejci, 6029-11
04/21/2011
New York Federal Court Orders Brian Kim and Liquid Capital Management, LLC, to Pay More than $12 Million in Restitution and Monetary Sanctions for Commodity Pool Fraud, 6028-11
04/21/2011
Receiver Makes $792 Million Initial Distribution to Investors in New York Defendants Paul Greenwood’s and Stephen Walsh’s $1.3 Billion Investment Ponzi Scam Charged by the CFTC and SEC, 6027-11
04/20/2011
CFTC to Hold Open Meeting on Fourteenth Series of Proposed Rules under the Dodd-Frank Act, 6026-11
04/18/2011
CFTC Charges Citigroup Trader Otmane El Rhazi, a Moroccan National, with Unlawful Trading and Misappropriation from a Citibank Proprietary Account, 6025-11
04/14/2011
CFTC Charges California Resident Lyndon Lydell Parrilla and His Company, Green Tree Capital, with Fraud in Multi-Million Dollar Forex Scheme, 6024-11
04/12/2011
CFTC Settles Charges against Kuen Cheol Song for Illegal, Fictitious Trading Scheme , 6023-11
04/12/2011
In Support of National Financial Literacy Month, CFTC Commissioner O’Malia to Host Open Meeting on Defining the Scope of a Consumer Education and Protection Program for the Post-Dodd-Frank World, 6022-11
04/12/2011
CFTC and SEC Staffs to Host Public Roundtable Discussion on Dodd-Frank Implementation, 6021-11
04/12/2011
CFTC, FTC Agree to Share Information on Energy Investigations, 6020-11
04/12/2011
CFTC Issues Notice of Proposed Rulemaking on Swap Data Recordkeeping and Reporting Requirements for Pre-Enactment and Transition Swaps, 6019-11
04/08/2011
CFTC Issues Order Relating to the Continuation, Shutdown and Resumption of Certain Commission Operations in the Event of a Lapse in Appropriations, 6018-11
04/08/2011
CFTC-SEC Release Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives, 6017-11
04/06/2011
CFTC Charges Pennsylvania-based New Century Investment Management LLC and Ward Onsa of Marco Island, Florida, with Operating a Commodity Pool Ponzi Scheme , 6016-11
04/05/2011
CFTC to Hold Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act, 6015-11
03/30/2011
CFTC Charges Florida Precious Metals Company Kastle & Hawke, Inc. and its Principals, James A. Ward and Nathaniel R. Walker, with Fraud, 6014-11
03/30/2011
CFTC, National Futures Association and AARP Co-sponsor "Don't Lose Your Life Savings to Investment Fraud" during Money Smart Week, 6013-11
03/29/2011
U.S. District Court Orders Texas Man Willie Lee Cloud, Jr. and his Company, C & R Financial, Inc., to Pay More than $5.35 Million in Restitution and a Civil Monetary Penalty for Operating a Foreign Currency Ponzi Scheme, 6012-11
03/29/2011
CFTC Cancels Open Meeting Scheduled for March 30, 2011, 6011-11
03/23/2011
CFTC to Hold Open Meeting on Thirteenth Series of Proposed Rules under the Dodd-Frank Act, 6010-11
03/23/2011
CFTC Seeks Public Comment on Request from the Options Clearing Corporation to Amend Order Permitting Operation of an Internal Non-Proprietary Cross-Margining Program, 6009-11
03/22/2011
CFTC Sanctions Hernando Chovil of McLean, Virginia, for Fraud in Connection with Operating a Commodity Pool, 6008-11
03/22/2011
CFTC Sanctions Bunge Global Markets, Inc. $550,000 for Entering Pre-Market Soybean Futures Orders on Globex that Caused Non-Bona Fide Prices to be Reported, 6007-11
03/21/2011
CFTC Charges Florida Resident Jeremy M. Globe and his Company, GlobeFX Club, Inc., with Making False Statements to the National Futures Association, 6006-11
03/21/2011
CFTC and State of California Charge The Trade Tech Institute, Inc., Technology Trading International, Inc., Robert Sorchini and Richard Carter with Fraudulently Soliciting More than 600 Managed Commodity Trading Accounts , 6005-11
03/17/2011
CFTC Charges Florida Couple and their Company, Queen Shoals Consultants, LLC, with Defrauding Foreign Currency Customers of More than $1.44 Million, 6004-11
03/16/2011
Federal Court Orders Brookshire Raw Materials Management, LLC, John M. Marshall, Stephen Z. Adams and Other Companies to Pay More than $15.8 Million for Defrauding Pool Participants and Misappropriating Millions of Dollars in a Commodity Pool Scheme, 6003-11
03/15/2011
CFTC Charges Alan James Watson, Michael S. Potts and Cash Flow Financial LLC with Defrauding Customers in $45 Million Commodity Pool Ponzi Scheme, 6002-11
03/15/2011
CFTC Commissioner O’Malia to Host SEF Showcase: Current Technology & Market Direction, 6001-11
03/11/2011
CFTC’s Division of Market Oversight Issues Advisory Regarding Ongoing Duty to Update Account Identification Form, 6000-11
03/10/2011
Federal Court in North Carolina Orders Dennis Todd Hagemann and Yellowstone Partners, Inc. to Pay More than $1.6 Million for Defrauding Investors in a Foreign Currency Ponzi Scheme, 5999-11
03/10/2011
U.S. Regulators Encourage Comments on the CPSS-IOSCO Consultative Report on the Principles for Financial Market Infrastructures, 5998-11
03/09/2011
CFTC Charges Jacob Juma Omukwe and his Companies with Solicitation Fraud and Misappropriation in $3 Million Foreign Currency Scheme, 5997-11
03/04/2011
Arizona Federal Court Imposes More than $1.1 Million in Restitution and Monetary Sanctions on Helmut H. Weber, Charged with Fraud and Misappropriation in Foreign Currency Scheme, 5996-11
03/04/2011
Tennessee Federal Court Imposes More than $49.7 Million in Monetary Sanctions on Dennis R. Bolze and His Company, Centurion Asset Management, Inc. for Fraud and Misappropriation in Commodity Pool Ponzi Scheme , 5995-11
03/03/2011
California Federal Court Imposes More than $46.9 Million in Monetary Sanctions on Robert D. Bame and his Firm, Forward Investment Group, LLC, for Commodity Pool Fraud, 5994-11
03/01/2011
New York Federal Court Orders Staten Island Resident Jeffrey Shalhoub and Jeff Shalhoub Investments to Pay More than $700,000 in Connection with a Commodity Futures Ponzi Scheme, 5993-11
02/28/2011
CFTC Charges Florida Resident David L. Ortiz and his Companies, Goyep International, Inc. and Royal Returns, Inc., with Defrauding Customers in an Off-Exchange Foreign Currency Scam, 5992-11
02/24/2011
CFTC Seeks to Revoke the Registrations of Texas-based M25 Investments, Inc. and M37 Investments, LLC, 5991-11
02/22/2011
CFTC Charges Missouri Resident Randall L. Stuckey and His Three Business Entities with Soliciting at Least $2.8 Million from Customers in Foreign Currency (Forex) Futures Fraud, 5990-11
02/22/2011
CFTC Sanctions Cantor Fitzgerald & Co. $100,000 for Wash Sales and Causing Noncompetitive Trading in the Reformulated Gasoline Futures Contract Traded on the New York Mercantile Exchange, 5989-11
02/18/2011
Commodity Futures Trading Commission’s Technology Advisory Committee to Meet March 1, 2011, 5988-11
02/17/2011
CFTC to Hold Open Meeting on Twelfth Series of Proposed Rules under the Dodd-Frank Act, 5987-11
02/17/2011
Federal Court Freezes Assets of Texas Man Larry Benny Groover, Charged by the CFTC with Operating a Foreign Currency Ponzi Scheme and Misappropriating Customer Funds, 5986-11
02/16/2011
CFTC Obtains Asset Freeze against Keith Simmons, Deanna Salazar, Bryan Coats, Jonathan Davey and Their Companies, Charged in $35 Million Foreign Currency Ponzi Scheme, 5985-11
02/15/2011
New York Federal Court Freezes Assets of Brian Kim and His New York Firm, Liquid Capital Management LLC, 5984-11
02/14/2011
CFTC Charges Two North Carolina Residents and their Company, PMC Strategy, LLC, with Fraudulently Soliciting at least $669,000 in Foreign Currency Ponzi Scheme, 5983-11
02/09/2011
CFTC Charges New York Resident Hasaan R. Steel with Commodity Pool Fraud, 5982-11
02/07/2011
CFTC Orders Chicago-Based Futures Commission Merchant Newedge USA, LLC to Pay More than $220,000 for Violating Speculative Position Limits in Live Cattle Futures Trading, 5981-11
02/04/2011
CFTC Wins Commodity Fraud Trial , 5980-11
02/03/2011
CFTC Sanctions New York Resident James M. Peister and His Company, Northstar International Group, Inc., More than $11 Million to Settle CFTC Anti-Fraud Action , 5979-11
02/02/2011
Minnesota Federal Court Orders Minnesota Man Charles E. Hays and His Company, Crossfire Trading, LLC, to Pay More than $84 Million in Disgorgement and Civil Monetary Penalties in Connection with Multi-Million Dollar Commodity Pool Ponzi Scheme, 5978-11
02/01/2011
CFTC Grants New York Portfolio Clearing, LLC Registration as a Derivatives Clearing Organization, 5977-11
01/31/2011
Utah Federal Court Freezes Assets of Robert Andres and His Houston Firm, Winsome Investment Trust, and Robert Holloway and His Salt Lake City Company, US Ventures LC, 5976-11
01/26/2011
CFTC Orders Illinois Traders Andrew Daniels, Ed Taylor and Daniels Trading Group LLC to Pay $2 Million and Imposes Trading Prohibition for Violating Rough Rice Speculative Position Limits and Concealing Material Facts from the CME Group, 5975-11
01/26/2011
CFTC Sues 14 Foreign Currency Firms in Nationwide Sweep, 5974-11
01/26/2011
Commodity Futures Trading Commission’s Technology Advisory Committee Meeting Postponed, 5973-11
01/25/2011
CFTC, USDA Economic Research Service and Farm Foundation NFP to Host Workshop on Carbon Market Design: Issues and Opportunities, 5972-11
01/25/2011
Florida Federal Court Orders Sarasota Resident Beau Diamond and his Company, Diamond Ventures LLC, to Pay More than $4 Million in Restitution and Civil Monetary Penalties in Connection with Multi-Million Dollar Forex Fraud , 5971-11
01/24/2011
CFTC Charges Arizona Resident Anthony Eugene Linton with Operating a Foreign Currency Ponzi Scheme, 5970-11
01/21/2011
Commodity Futures Trading Commission’s Technology Advisory Committee to Meet January 27, 2011, 5969-11
01/19/2011
CFTC Staff to Host Public Roundtable to Discuss Swap Data Recordkeeping and Reporting Requirements, 5968-11
01/19/2011
CFTC to Hold Open Meeting on Eleventh Series of Proposed Rules under the Dodd-Frank Act, 5967-10
01/19/2011
CFTC Launches Twitter Account to Keep Public Notified of Agency News and Events, 5966-11
01/18/2011
Interagency Working Group Releases Carbon Oversight Study, 5965-11
01/13/2011
CFTC to Hold Open Meeting on Tenth Series of Proposed Rules under the Dodd-Frank Act, 5964-11
01/13/2011
CFTC Sanctions Commodity Trading Advisor Alan F. Dasher, 5963-11
01/11/2011
CFTC Charges California Resident Scott Bottolfson with Operating a $14 Million Commodity Pool Ponzi Scheme, 5962-11
01/07/2011
Utah Resident Darren L. Shanks and His Firm, Forex Auto Profits, LLC, Ordered to Pay More than $2.9 Million in Fines and Restitution for Fraud and Misappropriation in Foreign Currency Scheme, 5961-11
01/06/2011
CFTC to Hold Open Meeting on Ninth Series of Proposed Rules under the Dodd-Frank Act, 5960-11

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