01/10/2001
CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR BROKERS, CHARGING THEM WITH FRAUDULENTLY EXECUTING GOLD OPTIONS TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and Philip Selby and Files An Administrative Complaint Against Timothy Murphy and Vincent Coppola
01/08/2001
CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST FORMER GRIFFIN TRADING COMPANY CHIEF FINANCIAL OFFICER, SCOTT N. SZACH; CFTC Finds that Szach Failed to Supervise Griffin's London Branch Office, Filed False Reports, and Committed Segregation and Recordkeeping Violations in Connection with His Unauthorized Trading
12/22/2000
<p>CFTC CHARGES JOHN F. O'HERRON OF ONEKAMA, MICHIGAN, AND O'HERRON ASSET MANAGEMENT, INC. WITH $2.7 MILLION COMMODITY POOL FRAUD; Court Issues Restraining Order Freezing Assets, Barring the Destruction of Books and Records, and Prohibiting Further Violations of Federal Commodity Law,
11/29/2000
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST ISAAC FLEYSHMAKHER, OF CHICAGO, ALLEGING COMMODITY POOL FRAUD; CFTC Complaint Alleges That Fleyshmakher Made Fraudulent Solicitations and Engaged in Unauthorized Trading and Misappropriation of Funds in Connection with His Operation of New Frontier and New Millennium Commodity Pools
11/22/2000
CFTC CHARGES MARTIN BROWN AND GEOFFREY S. THOMPSON WITH A FRAUDULENT TRADE ALLOCATION SCHEME AND OBTAINS RESTRAINING ORDER FREEZING ASSETS AND RECORDS; Complaint Also Charges Brown and Thompson With Unauthorized Trading
11/16/2000
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST DONALD M. FISHBACK, JR. AND THE DONALD M. FISHBACK COMPANY ALLEGING FRAUDULENT SOLICITATION OF MEMBERS OF THE PUBLIC TO PURCHASE COMMODITY OPTIONS TRADING PRODUCTS AND SERVICES
11/09/2000
FLORIDA FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST GARY V. VALLETTA IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions and a Two-Year Registration Ban
11/07/2000
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST FREDERIC J. MERSCH, CHARGING HIM WITH VIOLATING EXCHANGE TRADING LIMITS
10/31/2000
CFTC PARTICIPATES IN JOINT LAW ENFORCEMENT INITIATIVE AIMED AT CLEANING UP THE INTERNET
10/26/2000
CFTC FILES ENFORCEMENT ACTION AGAINST U.S. SECURITIES & FUTURES CORP. (USSFC), JUSTUS ENTERPRISES, INC., THOMAS WHITE, NANCY BELLASSAI, JOHN HING, MICHAEL SKRABLE AND DANIEL REYNOLDS, CHARGING THAT THEY PARTICIPATED IN A FOREIGN BROKER’S MULTI-MILLION DOLLAR TRADE ALLOCATION FRAUD; CFTC Also Alleges, Among Other Things, That USSFC, Hing, White, Bellasai, Huaya Lu Tung, Thomas Gong, Jiping Wu, and Bellasai Failed to Supervise Diligently USSFC and Its Employees