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Enforcement Press Releases

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Date
Enforcement Press Releases
05/16/2012
Federal Court in South Carolina Orders Ronald E. Satterfield and Nicholas and Patricia Bos to Pay over $7.5 Million for Fraud in Connection with a Forex Ponzi Scheme, 6258-12
05/14/2012
CFTC Orders ACI Capital Group, L.L.C. and Alexandre P. Guimaraes to Pay Approximately $850,000 in Restitution and Penalty to Settle Forex Fraud Charges, 6257-12
05/11/2012
CFTC Charges Michael J. Leighton of Torrance, Calif., with $1.6 Million Commodity Pool Fraud, 6256-12
05/09/2012
CFTC Charges New York Firm Madison Dean, Inc., and its Principals, George Athanasatos and Laurence Dodge, with Forex Fraud, 6254-12
05/08/2012
CFTC Obtains Default Judgment against Former Florida Resident Juvenal E. Machado and His Company, Invers Forex, LLC, for Off-Exchange Forex Scam, 6253-12
05/03/2012
Federal Court in New York Orders Thomas Qualls and His Company, International Foreign Currency, to Pay More than $4.6 Million in Restitution and Penalties in Connection with Off-Exchange Forex Futures Fraud, 6251-12
05/03/2012
CFTC Charges Utah Residents Christopher Hales, Eric Richardson and their Company, Bentley Equities, LLC, with Fraud and Misappropriation, 6250-12
05/03/2012
CFTC Charges Illinois Resident Dimitry Vishnevetsky and His Company, Oxford Capital, LLC, with Commodity Pool Fraud, 6249-12
05/01/2012
Federal Court in Illinois Orders Trading Point of Financial Instruments Ltd. to Pay $140,000 Penalty for Acting as Unregistered Retail Forex Dealer, 6248-12
05/01/2012
CFTC Charges Sidney J. Charles, Jr. and his Maryland-based Company, The Borrowing Station, LLC, in Forex Ponzi Scheme, 6247-12
04/26/2012
Federal Court Enters Order Settling CFTC $85 Million Forex Fraud Action against California Resident Peter Son and his Companies SNC Asset Management, Inc. and SNC Investments, Inc., 6245-12
04/26/2012
CFTC Orders Texas-based PassThrough Investments, LLC, and its Principals, Stephen Brantley and Dwayne Bryant Dawson, to Pay over $1.1 Million in Sanctions to Settle CFTC Charges of Fraud in Operating a Forex Trading Pool, 6244-12
04/26/2012
CFTC Settles Action against Florida Resident Ghassan Tawachi for Fraud and Misappropriation, 6243-12
04/25/2012
CFTC Charges Georgia Resident Robert A. Christy and His Company Crabapple Capital Group LLC with Foreign Currency Fraud and Misappropriation, 6242-12
04/23/2012
Federal Court in California Orders Forex Liquidity LLC to Pay $400,000 for Failing to Maintain Required Net Capital and Books and Records, 6240-12
04/19/2012
Federal Court Orders $14 Million in Fines and Disgorgement Stemming from CFTC Charges against Optiver and Others for Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts and Making False Statements, 6239-12
04/18/2012
Federal Court Orders Colorado Defendants Flint-McClung Capital LLC and Shawon McClung to Pay over $6 Million in CFTC Action Charging Them with Running Forex Ponzi Scheme, 6236-12
04/18/2012
Virginia Federal Court Orders Ronald W. Smith, Jr., Doing Business as Safeguard 3030 Investment Club, to Pay More than $3 Million in Forex Ponzi Scheme, 6235-12
04/13/2012
CFTC Revokes Registration of Robert Wayne Mansell, 6231-12
04/12/2012
CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production Violations, 6230-12
04/12/2012
CFTC Charges Brad Lee Demuzio of Idaho and his Company, Demuzio Capital Management, with Operating a Fraudulent $1.8 Million Commodity Pool and Forex Ponzi Scheme, 6229-12
04/09/2012
Federal Court in Texas Orders Total Call Group, Inc. and its Principals to Pay over $4.8 Million in Fines for Making False Representations and Issuing False Account Statements in Forex Fraud, 6227-12
04/04/2012
CFTC Orders JPMorgan Chase Bank, N.A. to Pay a $20 Million Civil Monetary Penalty to Settle CFTC Charges of Unlawfully Handling Customer Segregated Funds, 6225-12
04/02/2012
CFTC Charges Royal Bank of Canada with Multi-Hundred Million Dollar Wash Sale Scheme, 6223-12
03/28/2012
CFTC Seeks to Revoke the Registrations of Illinois Resident Joseph A. Dawson and His Company, Strategic Research LLC, 6222-12
03/26/2012
Federal Court in Puerto Rico Orders Angel F. Collazo and ACJ Capital, Inc. to Pay over $3.7 Million for Solicitation Fraud and Issuing False Statements in an Off-Exchange Foreign Currency Scheme, 6218-12
03/21/2012
CFTC Revokes Registrations of Richard Allan Finger, Jr. and his Company, Black Diamond Futures, LLC Based on Criminal Action, 6214-12
03/20/2012
CFTC Charges Florida Resident Abraham Gutterman and His Companies, Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC with Commodity Gold and Oil Options Fraud and Misappropriation, 6213-12
03/14/2012
CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices, 6210-12
03/13/2012
CFTC Charges Arjent Capital Markets LLC, Chicago Trading Managers LLC, Spencer Montgomery, and Brian Reynolds with Commodity Pool Fraud, 6207-12
03/13/2012
CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried, 6206-12
03/13/2012
CFTC Orders Chicago Futures Commission Merchant FCStone, LLC and New York Introducing Broker Commodity Operations Inc. to Pay $260,000 for Supervision Violations, 6205-12
03/13/2012
CFTC Charges MBF Clearing Corp. with Violations of Customer Fund Segregation Requirements, 6204-12
03/12/2012
CFTC Charges Florida Firm Angus Jackson, Inc. and its CFO Martin H. Bedick with Making False, Fictitious, or Fraudulent Statements to the NFA, 6203-12
03/12/2012
Federal Court in Illinois Orders City Credit Capital, (UK) Ltd. to Pay $140,000 Civil Monetary Penalty for Acting as Unregistered Retail Forex Dealer, 6202-12
03/09/2012
CFTC Charges Illinois Resident Christopher Varlesi with Commodity Pool Fraud, Misappropriation, False Statements, and Failure to Register, 6199-12
03/08/2012
J.P. Morgan Securities LLC Agrees to Pay $140,000 Penalty for Confirming the Execution of a Prearranged Trade on the CBOT, 6198-12
03/08/2012
BlackRock Institutional Trust Co. NA Agrees to Pay $250,000 Penalty to Settle Charges of Prearranged Trading and Fictitious Sales on the CBOT, 6197-12
03/07/2012
Federal Court in Illinois Orders Windsor Brokers, Ltd. of Cyprus to Pay $140,000 Civil Monetary Penalty, Cease Soliciting U.S. Customers, and Modify Website, 6196-12
03/07/2012
CFTC Charges Alabama Resident John David Stroud and His Companies with Commodity Pool Fraud and Misappropriation, 6195-12
02/29/2012
Federal Court in Illinois Orders Australian Firm Enfinium Pty Ltd to Pay $80,000 Penalty, Cease Soliciting U.S. Customers, and Modify Website, 6194-12
02/28/2012
CFTC Charges IAG Capital Management, LLC and William Patrick Kelly, of Conn., with Commodity Pool Fraud, Commingling Pool Funds, and Making False Statements to the NFA, 6193-12
02/27/2012
CFTC Charges Alexander Giap of Annandale, Va., with Fraud by an Unregistered Commodity Trading Advisor, 6191-12
02/27/2012
CFTC Orders James G. Brandolino to Pay $1 Million Penalty to Settle CFTC Charges of Commodity Futures Fraud, 6190-12
02/27/2012
Federal Court in Illinois Orders Former Futures Trader David Sklena to Pay over $6.6 Million for Cheating Customers, 6189-12
02/23/2012
CFTC Orders Iowa Resident Jeffrey J. Kinseth and His Company, Virtual Vision Inc., to Pay More than $1 Million in Restitution and Penalties in Fraud Action, 6187-12
02/22/2012
CFTC Orders New York Firm D.E. Shaw & Co. L.P. to Pay $140,000 Penalty for Violating Soybean and Corn Futures Speculative Position Limits, 6186-12
02/22/2012
CFTC Settles Action against Aaron Klein for Failing to Disclose He Was a Registrant’s Principal, 6185-12
02/17/2012
CFTC Charges Mitchell Brian Huffman of North Carolina with Operating a Fraudulent $3.2 Million Commodity Pool Scheme, 6183-12
02/16/2012
Federal Court Orders Texas Resident Robert D. Watson to Pay $31 Million for Defrauding Customers, Misappropriating Millions of Dollars, and Providing Fictitious Records in Forex Scheme, 6181-12
02/15/2012
CFTC Charges Puerto Rico Resident Angel F. Collazo and his Companies, ACJ Capital Inc. and Solid View Capital LLC, in Forex Fraud Ponzi Scheme, 6180-12
02/15/2012
Georgia Federal Court Enters Order for Permanent Injunction against Joseph L. Autry, Jr. and His Company, Autry Capital Management LLC, for Commodity Fraud, 6179-12
02/09/2012
CFTC Obtains Permanent Injunction against British Virgin Island Firm InterForex, Inc. for Acting as an Unregistered Retail Forex Dealer; Firm Ordered to Modify Website, 6177-12
02/08/2012
CFTC Charges Texas Resident Christopher B. Cornett in Foreign Currency Fraud Action, 6175-12
02/02/2012
Arizona Federal Court Orders Anthony Eugene Linton to Pay More Than $1.7 Million for Operating Ponzi Scheme, 6174-12
01/31/2012
CFTC Issues Consumer Advisory Alerting Public to Possible Precious Metals Fraud , 6172-12
01/23/2012
CFTC Orders Conn. Resident Timothy Michael Murphy and His Company, Centurion Global Capital Management LLC, to Pay $360,000 for Commodity Pool Solicitation Fraud, 6169-12
01/12/2012
CFTC Files Enforcement Action against Two Indian Citizens for Allegedly Engaging in an Illegal Trading Scheme, 6168-12
01/09/2012
CFTC Orders Newedge USA, LLC, a Registered Futures Commission Merchant, to Pay $700,000 for Submitting Inaccurate Large Trader Reports to the CFTC and for Violating a Prior CFTC Order, 6167-12
01/05/2012
Federal Court Orders CFTC Defendant Larry Benny Groover to Pay $2.69 Million for Defrauding Customers in Forex Ponzi Scheme, 6165-12
01/05/2012
Illinois Federal Court Imposes $140,000 Civil Monetary Penalty on Foreign Currency Firm, FXOpen Investments Inc., for Acting as an Unregistered Retail Foreign Exchange Dealer, 6164-12

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