03/21/2002
CFTC SETTLES CHARGES AGAINST MINNESOTA DEFENDANTS IN COMMODITY POOL FRAUD CASE; Leonard Nauman and His Two Companies, Pension America, Inc., and Futures Profit Making, LLC, Are Permanently Barred From Trading For Others
03/21/2002
CFTC SETTLES FRAUD ACTION AGAINST WEST VIRGINIA COMMODITY POOL OPERATOR; Defendants Robert L. Dormagen and Delta Financial Corporation Permanently Barred From Trading Futures or Options
03/20/2002
LOS ANGELES COMMODITY TRADER SETTLES CFTC FRAUD ACTION; Alfred Gladstone Ordered to Pay Up To $171,000 in Restitution and Civil Monetary Penalty Pursuant to Payment Plan and Agrees Never to Seek CFTC Registration
03/20/2002
CFTC FILES ENFORCEMENT ACTION AGAINST FOUR CSCE FLOOR BROKERS, CHARGING THEM WITH UNLAWFULLY TRADING COFFEE FUTURES; Joseph Defrancesco, Ronald Kilbride, and Brian Thornton Charged with Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices; Defrancesco, Kilbride, Thornton, and Marc Greenstein Also Face Charges of Noncompetitive Trading, Illegal Wash Sales, and Accommodation Trades
03/18/2002
CALIFORNIA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING MORE THAN $500,000 IN CUSTOMER FUNDS AND VIOLATING PRIOR COMMISSION ORDER; CFTC Charges Mark Ross Weinberg With Fraudulently Soliciting Funds to Trade Commodity Futures; Federal Court Freezes Assets and Bars Destruction of Books and Records
03/11/2002
FLORIDA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING AT LEAST $1 MILLION IN CUSTOMER FUNDS AND VIOLATING PRIOR FEDERAL COURT ORDER; CFTC Charges Thomas Chilcott, Ted Whidden, and Leona Westbrook With Fraudulently Operating Commodities Trading Business Known As Trade Master of Southwest Florida; Federal Court Freezes Assets and Bars Destruction of Books and Records
02/27/2002
CFTC CRACKS DOWN ON FOREIGN CURRENCY SCAMS NATIONWIDE; Nineteen Firms and Individuals Charged in Sweep With Selling Illegal Foreign Currency (Forex) Investments to the Retail Public; Actions Cap First Year of FOREX Initiative Using Reinforced Statutory Authority
02/26/2002
CFTC Warns the Public About Investment Opportunities Promising Large Profits and Little Risk, Even When Offered by Friends and Acquaintances
02/25/2002
FORMER CHIEF OPERATING OFFICER OF A COMMODITY FIRM SETTLES CFTC ACTION CHARGING SUPERVISORY FAILURES; CFTC Finds That Mark Vaughn Failed To Supervise Diligently The Handling Of Foreign Customer Accounts
02/12/2002
FLORIDA COMMODITY TRADING ADVISORS SETTLE CFTC FRAUD ACTION; Defendants Fred and Jeanne Monte Permanently Banned From Trading Futures or Options
