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Enforcement Press Releases

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Date
Enforcement Press Releases
12/27/2010
California Federal Court Orders Paul Abad and His Companies to Pay More than $860,000 in Restitution and a Civil Monetary Penalty to Settle Commodity Pool Fraud Action, 5958-10
12/21/2010
CFTC Orders Registered Floor Broker Thomas Carroll and Trader R. Scott Hopkins to Pay Civil Monetary Totaling $700,000 for Engaging in a Fraudulent Trade Allocation Scheme, 5956-10
12/15/2010
CFTC Charges California Man Ryan Nassbridges and His Companies, American Bullion Exchange ABEX Corp. and American Bullion Exchange LLC, with Fraud in $5.5 Million Precious Metals Scheme, 5955-10
12/14/2010
CFTC Charges New York Man Vincent Patrick McCrudden and His Two Companies with Registration Violations, 5954-10
12/14/2010
Texas Federal Court Orders Patrick Dailey and Strongbow Investments GP, LLC, to Pay More than $2.8 Million in Restitution and Civil Monetary Penalties in Connection with Multi-Million Dollar Commodity Pool Fraud, 5953-10
12/10/2010
CFTC Charges Kent R.E. Whitney with Options Fraud by Making False and Misleading Statements to the CME, Futures Commission Merchants and Others, 5952-10
12/07/2010
U.S. District Court Orders Two Florida Residents and a Florida Firm to Pay More Than $4 Million for Defrauding Investors in a Foreign Currency Scheme, 5950-10
12/07/2010
Oklahoma Federal Court Orders More than $26 Million in Customer Restitution and Civil Monetary Penalties Against Prestige Ventures Corporation, Federated Management Group, Inc., Kenneth W. Lee and Simon Yang, Defendants in CFTC Ponzi Scheme Action, 5949-10
12/07/2010
Georgia Court Orders CRE Capital Corp. and its Owner James G. Ossie to Pay $25.7 Million in Foreign Currency Ponzi Scheme, 5948-10
12/07/2010
CFTC Charges MXBK Group S.A. de C.V., a Mexican Financial Services Company, and its Forex Trading Division, MBFX S.A., with Defrauding Hundreds of U.S. Customers, 5946-10
11/24/2010
CFTC Charges Oregon-based System Capital, LLC and Joshua Wallace with Solicitation Fraud and Making False Statements to the National Futures Association, 5940-10
11/23/2010
Federal Court Enters Preliminary Injunctions Against South Carolina Defendant Ronald E. Satterfield, His Companies and Michigan Resident Nicholas Bos, Charged with Operating a Multi-Million Dollar Foreign Currency Ponzi Scheme, 5938-10
11/15/2010
CFTC Charges South Carolina Man Ronald E. Satterfield, His Two Companies and Michigan Resident Nicholas Bos with Operating a Multi-Million Dollar Foreign Currency Ponzi Scheme in Four States, 5935-10
10/29/2010
CFTC Charges Perry Jay Griggs, Rachelle Griggs and Aloha Trading Company, Inc. with Operating a Multi-Million Dollar Ponzi Scheme, 5929-10
10/27/2010
Federal Court Orders More than $16.2 Million in Customer Restitution and Monetary Penalties against Texas Defendants Scott P. Kear, Sr., Jeffery L. Lyon and their Firms in CFTC Anti-Fraud Action, 5927-10
10/07/2010
CFTC Charges Ohioans Kevin and Keelan Harris, Complete Developments LLC, Investment International Inc. and Three Ontario, Canada-based Defendants with Operating a Multi-Million Dollar Foreign Currency Ponzi Scheme, 5921-10
10/06/2010
Federal Court Imposes More than $41.2 Million in Relief and Sanctions against Idaho-based Daren L. Palmer and His Company, Trigon Group LLC, in Commodity Pool Ponzi Scheme, 5919-10
10/05/2010
CFTC Enforcement Program Filings Increase 14 Percent in Fiscal Year 2010, 5918-10
10/05/2010
CFTC Files Action to Revoke the Registrations of Cornerstone Capital Management, Inc., 5917-10
10/04/2010
CFTC Charges Accounting Firms McGladrey & Pullen, LLP and Altschuler, Melvoin & Glasser LLP, and Partner G. Victor Johnson II with Failure to Audit Properly Sentinel Management Group, Inc., 5916-10
10/04/2010
CFTC Sanctions Rosenthal Collins Group, L.L.C. More than $1.3 Million for Supervision Violations, 5915-10
10/04/2010
CFTC Sanctions Triland USA Inc. $725,000 for Failing to Maintain Secured Customer Funds and Failing to Provide Timely Notice to the CFTC of the Deficiency, 5914-10
09/30/2010
CFTC Imposes Permanent Trading Ban on Kevin McCormick for Submitting Trading Cards with Fictitious Commodity Futures Trades, 5911-10
09/30/2010
CFTC Sanctions Alaron Trading Corporation $260,000 for Supervisory Failures, 5910-10
09/30/2010
CFTC Charges Texas-based Company and its Principals with Issuing False Account Statements in Foreign Currency Anti-Fraud Action , 5908-10
09/30/2010
CFTC Charges Rodney W. Whitney, Nicholas T. Cox and Their Trading Firm, Integra Capital Management LLC, with Operating a $3 Million Ponzi Scheme, 5907-10
09/28/2010
CFTC Charges People’s Alternative, Inc. and its Principals with Commodity Pool Fraud and Misappropriation, 5904-10
09/23/2010
Federal Court Freezes Assets of Mark Alan Vanderploeg and His Companies, Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc., 5903-10
09/21/2010
CFTC Charges Joseph L. Autry, Jr. and Autry Capital Management with Commodity Pool Ponzi Scheme Fraud, Misappropriation and Issuing False Customer Reports, 5902-10
09/20/2010
CFTC Sanctions Former Metals Trader for Defrauding General Motors, 5900-10
09/14/2010
CFTC Sanctions Houston-based Vitol Inc. and Vitol Capital Management Ltd. $6 Million for Willfully Failing to Disclose Material Facts to the New York Mercantile Exchange, 5894-10
09/02/2010
Honolulu-based Marvin Cooper and His Company, Billion Coupons, Inc., Ordered to Pay More than $6.2 Million in Sanctions in Connection with Ponzi Scheme Targeting the Deaf Community, 5884-10
08/30/2010
Former Floor Broker John Lee Neuman Permanently Banned from Trading for Fraud and Unauthorized Trading, 5881-10
08/30/2010
Terrence R. Pipenhagen of Orlando, Fla. and His Two Companies to Pay $150,000 Penalty to Settle CFTC Fraud Charges, 5880-10
08/19/2010
Federal Court Freezes Assets of Oklahoma Man Jeremiah C. Yancy and His Company, Longbranch Group International LLC, 5875-10
08/16/2010
CFTC Sanctions ConAgra Trade Group, Inc. $12 Million for Causing a Non-Bona Fide Price to Be Reported in the NYMEX Crude Oil Futures Contract, 5873-10
08/05/2010
Virginia-Based Financial Investments, Inc. Ordered to Pay $130,000 Fine to Settle CFTC Charges of Repeatedly Failing to File Commodity Pool Annual Reports on Time, 5867-10
07/29/2010
CFTC and Defendant Paul Greenwood Agree to a Consent Order Finding that Greenwood Operated a Multi-Billion Dollar Investment Scam, 5865-10
07/28/2010
CFTC Charges Growth Capital Management LLC and Felon Robert Milhailovich, Sr., with Fraudulently Soliciting More than $30 Million to Trade Commodity Futures and Forex, 5863-10
07/27/2010
CFTC Charges Three Chicago Defendants with Destroying Records and Failing to Diligently Supervise Employees, 5861-10
07/26/2010
CFTC Charges Illinois Resident Joseph A. Dawson and His Company, Dawson Trading LLC, with Commodity Pool Fraud, 5860-10
07/22/2010
Gage’s Fertilizer & Grain, Inc., a Missouri Grain Elevator, and its President-Owner, Steven W. Gage, to Pay $175,000 to Settle CFTC Charges of Violating Registration Requirements, 5858-10
07/14/2010
CFTC Charges Three Florida Defendants with Issuing False Account Statements in Foreign Currency Anti-Fraud Action, 5852-10
07/06/2010
CFTC Charges Florida Resident Phillip Milton and Virginia Residents Gregory and William Center with Operating a $28 Million Ponzi Scheme, 5848-10
06/24/2010
CFTC Charges California-Based Highlands Capital Management, LP and Glenn Kane Jackson with Defrauding Customers in an Off-Exchange Foreign Currency Scheme, 5844-10
06/21/2010
CFTC Charges Richard D. Theye and His Company, Micind Capital Management, Inc., with Fraud in Connection with a Multi-Million Dollar Ponzi Scheme, 5840-10
06/15/2010
CFTC Charges Marat Yunusov with Engaging in a Series of Unlawful Commodity Futures Transactions on Globex , 5836-10
05/27/2010
Federal Court Imposes $1.4 Million Civil Penalty against David A. Owen, 5830-10
05/24/2010
CFTC Charges Two California Men, Ruben Gonzalez and Jose Naranjo, and Their Company, New Golden Investment Group, LLC, with Running a Multi-Million Dollar Ponzi Scheme, 5828-10
05/19/2010
CFTC Files Anti-Fraud Action against Jeffrey Shalhoub and Jeff Shalhoub Investments for Operating a Futures Ponzi Scheme, 5826-10
05/04/2010
Federal Court Orders More than $3.8 Million in Sanctions against North Carolina Defendant Tyrone McCall and Two Entities He Controlled to Settle a CFTC Anti-Fraud Action, 5818-10
05/03/2010
The CFTC Sanctions Noble Americas Corp. $130,000 for Wash Sales Trading on the New York Mercantile Exchange and Causing Non Bona Fide Prices to Be Reported , 5817-10
04/29/2010
Morgan Stanley Capital Group, Inc. to Pay a $14 Million Civil Penalty to Settle CFTC Charges that the Company Concealed a Large Block Crude Oil Trade, 5816-10
04/29/2010
Hedge Fund Moore Capital Management, LP, and Its Affiliates Moore Capital Advisors, LLC and Moore Advisors, Ltd., Ordered to Pay a $25 Million Penalty to Settle CFTC Charges of Attempted Manipulation of Platinum and Palladium Futures Settlement Prices, 5815-10
04/22/2010
CFTC Charges Carmine Garofalo with Illegal Trading on a U.S. Exchange, 5813-10
04/22/2010
San Diego Gas & Electric Company Agrees to Pay a Civil Penalty to Settle CFTC Charge that it Engaged in Wash Sales in the Natural Gas Futures Markets , 5812-10
04/12/2010
CFTC Files Enforcement Action against Singapore National Kuen Cheol Song for Engaging in an Illegal Trading Scheme , 5806-10
04/12/2010
CFTC Charges Florida Resident Claudio Aliaga and His Company, CMA Capital Management, LLC, with Operating a Foreign Currency Ponzi Scheme, 5807-10
04/07/2010
Charleston, South Carolina-based Defendants Ordered to Pay More than $3.9 Million in Restitution and Civil Penalties to Resolve 2008 CFTC Anti-Fraud Action, 5805-10
03/29/2010
Charlottesville, Virginia-based Defendants Ordered to Pay More than $4.6 Million in Disgorgement and Civil Penalties to Settle 2009 CFTC Anti-Fraud Action, 5802-10
03/29/2010
CFTC Charges Ohio-based Defendants Enrique Villalba, Jr., and Money Market Alternative, LP, with Operating a Multi-Million Dollar Futures Ponzi Scheme, 5801-10
03/25/2010
Georgia-Based Hedge Fund Lake Dow and its Principal, Ty Edwards, Ordered to Pay More than $4 million in Restitution and Penalties in CFTC Commodity Pool Fraud Action, 5800-10
03/24/2010
Federal Court Imposes $260,000 in Civil Penalties against Austin, Texas Resident Steven Leigh Shakespeare and His Company, Guardian Futures, Inc., Both Charged with Fraud and Unauthorized Trading, 5799-10
03/16/2010
CFTC Charges Patrick Rakotonanahary and Cyber Market Group LLC with Operating a Multi-Million Dollar Ponzi Scheme in Hawaii and Elsewhere in the U.S., 5797-10
03/15/2010
CFTC Charges Raleigh, North Carolina Man and His Company, Yellowstone Partners, Inc., with Operating a Foreign Currency Ponzi Scheme, 5795-10
03/11/2010
CFTC Charges Scottsdale, Arizona Resident Helmut H. Weber d/b/a Weber Capital Management with Solicitation Fraud and Misappropriation in Forex Scheme, 5794-10
03/11/2010
Federal Court Issues Preliminary Injunction against Virginia Resident Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, in Forex Fraud Scheme, 5793-10
03/09/2010
CFTC Charges Texas Resident Willie L. Cloud, Jr. and His Investment Company, C & R Financial, with Operating a Foreign Currency Ponzi Scheme, 5791-10
03/09/2010
Federal Court Orders California Man David Michael Kogan and His Company, First Capitol Futures Group, to Pay More than $20.3 Million in CFTC Commodity Options Fraud Action, 5790-10
03/08/2010
CFTC Sues Virginia-based Financial Investments, Inc. for Repeatedly Failing to File Annual Reports in a Timely Manner for a Commodity Pool It Operated, 5789-10
03/08/2010
New York Court Imposes Fine and Other Sanctions against Robert Moore, Former Managing Director of the Bank of Montreal’s Commodity Derivatives Group, 5788-10
03/04/2010
Federal Court Orders Forex Dealer One World Capital Group and Its President, John “Jack” Edward Walsh, to Pay $520,000 in Sanctions , 5786-10
03/02/2010
Federal Court Issues Preliminary Injunction against Jay Nolan and His Company, Lodge Capital Group, LLC, Charged with Commodity Pool Fraud, 5785-10
02/26/2010
CFTC Charges Virginia Resident Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, in Forex Fraud Scheme, 5784-10
02/24/2010
The CFTC Sanctions Swiss Firm $130,000 for Exceeding Position Limits, 5783-10
02/19/2010
CFTC Imposes a $1 Million Penalty on California Resident Craig A. Riley and His Firm, Pressio Capital Management, LP, for Commodity Pool Fraud, 5781-10
01/29/2010
Minnesota Resident Trevor Cook Incarcerated for Violating Court Orders in CFTC Anti-Fraud Action Charging Him in $190 Million Foreign Currency Fraud, 5779-10
01/29/2010
CFTC Charges Illinois Defendants Jay C. Nolan and His Company, Lodge Capital Group, LLC, with Commodity Pool Fraud, 5778-10
01/28/2010
The CFTC Sanctions Toronto-Based Scotia Capital Inc. $250,000 for Prearranged Fictitious Trades, 5777-10
01/28/2010
The CFTC Sanctions Two Canadian Firms $500,000 for Entering into Unlawful Wash Sales, 5776-10

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