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CFTC FILES CIVIL FRAUD COMPLAINT IN FLORIDA FEDERAL COURT AGAINST INTRODUCING BROKER R.J. FITZGERALD & CO., INC., RAYMOND AND LEIZA FITZGERALD, AL CORINGRATO, GREG BURNETT, AND CHUCK KOWALSKI; CFTC Action Charges that the Defendants Made False Representations and Engaged in Fraudulent Acts and Practices, Including Sales Solicitation Fraud and Account Churning, 4285-99
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Merrill Lynch International, Inc. and Merrill Lynch Pierce Fenner & Smith (Brokers & Dealers), Ltd. Pay $15 Million to Settle Charges of Aiding and Abetting Manipulation of the Copper Market, , 4284-99
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CFTC Files Complaint Against Kent C. Calhoun of Hunt, Texas, Alleging That He Committed Fraud in Using the CFTC's Name to Solicit Customers to Purchase His Commodity Trading Systems and Attend his Commodity Trading Seminars; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties, 4283-99
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CFTC Accepts Settlement Offer of Selwyn "Sy" Gaiber; CFTC Settlement Order Finds that Gaiber Acted as an Unregistered CTA and Failed to Deliver Disclosure Documents and to Disclose His Past Performance Record, , 4282-99
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CFTC Institutes Administrative Proceedings Against and Accepts Offer of Settlement from Ross R. Godres of Lafayette, Colorado; CFTC Finds that Godres Defrauded Investors By Concealing Losses Resulting From the Trading of Precious Metal Futures Contracts on Behalf of a Commodity Pool, and Orders Restitution to Defrauded Investors, Among Other Sanctions, 4281-99
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North Carolina Court Issues Preliminary Injunction in CFTC Action Charging Donald Trivette With Defrauding Investors and Misappropriating Investor Funds, 4280-99
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Thomas J. Erickson Sworn in as CFTC Commissioner, 4279-99
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georgia Court Orders Payment of Over $11.5 Million and Permanent Injunction In Default Order Against Estate of Donald B. Chancey, Southeastern Venture Partners Group, in Commodity Pool Fraud Case, 4278-99
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Commodity Futures Trading Commission Provides Guidance to Commission Registrants Regarding Contingency Planning for Y2K, 4277-99
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CFTC Amends Order Granting the Chicago Board of Trade a Dual Trading Exemption for the Treasury Bond Futures Contract on its Project A Electronic Trading System to Include the Project A Ten-Year Treasury Note Futures Contract, , 4276-99
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Commodity Futures Trading Commission Issues Advisory on Alternative Execution, or Block Trading, Procedures for the Futures Industry, 4275-99
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Commodity Futures Trading Commission Year 2000 Contingency Planning for Commission Registrants, 24-99
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CFTC Issues Order Regarding Access to Automated Boards of Trade, 4274-99
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CFTC Names David D. Spears Acting Chairman, 4273-99,
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CFTC Cancels June 3rd Open Meeting on Access to Automated Boards of Trade, 4272-99
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New York Court Orders Defendants (New York Currency Exchange Corp., New York Currency Research Corp., and Michael T. Matejka) to Pay Over $8.1 Million in Civil Monetary Penalties and Orders Restitution of More Than $2.7 Million to Customers in CFTC Illegal Foreign Currency Futures Fraud Action; CFTC's 1998 Anti-Fraud Enforcement Action Alleged that the Defendants Cheated and Defrauded Customers Out of Over $3.5 Million, 4271-99
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Phyllis Cela Appointed Acting Director of Enforcement, 4270-99
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CFTC Reduces Rules on Contract Applications, 4268-99
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CFTC Adopts Amendments to Its Rules Governing Registration, Exemption and Disclosure by IBs, CPOs and CTAs Trading Foreign Futures and Option Contracts, 4267-99
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CFTC Files and Settles Action Against REFCO, Inc. for Order-Taking and Recordkeeping Violations and for Failing to Supervise; Company Ordered to Pay $7 Million, Including $1 Million To Fund An Industry Study, And to Cease And Desist From Further Violations, and to Conduct an Internal Review Concerning Refco's Compliance Policies and Procedures, 4269-99
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CFTC Issues Final Rules Amending Its Recordkeeping Requirements, 4266-99
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CFTC Obtains Preliminary Injunctions Against All Defendants, EuroPacific Equity & Capital Management, Ltd., Tortola Corporation Company, Ltd., International Investment Group, Ltd., David Michael Loyd, and Richard Tichy, in CFTC Enforcement Action Alleging Fraud, 4264-99
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CFTC Streamlines Speculative Position Limit Rules, 4263-99
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North Carolina Court Issues Asset Freeze and Temporary Restraining Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette with Defrauding Customers by Misrepresentations and Misappropriation of Investor Funds, 4262-99
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<p align="left">CFTC's Global Markets Advisory Committee to Meet on May 12, 1999, , 4261-99
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CFTC Finds That Earl A. Pedersen, a Floor Broker at the Coffee Sugar Cocoa Exchange, is Subject to Statutory Disqualification and Issues Consent Order Restricting Pedersen's Registration, 4260-99
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Tennessee District Court Enters Asset Freeze Order Against Edwin Jay Sheldon, Applied Capital Management, LLC., and Charles Edward Powell in CFTC Enforcement Action Alleging Commodity Pool Fraud, 4259-99
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<div align="left"> CFTC Extends Comment Period for Proposed Rules Concerning Access to Automated Boards of Trade, , 4258-99
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CFTC Obtains Restraining Order in Civil Action Against Donald E. James and Donald James, Inc. of georgia Alleging Commodity Pool Fraud; Complaint Alleges That Defendants Operated a $5 Million Ponzi Scheme Over a Four-Year Period, 4257-99
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<div align="left"> CFTC's Agricultural Advisory Committee to Meet on April 21, 1999, , 4256-99
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<div align="left"> Applicability of New Definitions of "Exemptive," "No-Action" and "Interpretative" Letters, , 16-99
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North Carolina Court Enters Documents Freeze Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette of North Carolina with Defrauding Investors by Misrepresentations and Misapproiation of Investor Funds, 4255-99
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CFTC Obtains restraining order against Joseph P. McGivney, Sr., Edwin A. Koziol, Jr. and six corporations in Illinois accused of Commodity Fraud, 4254-99
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CFTC Notifies the Minneapolis Grain Exchange of Its Results of a Rule Enforcement Review, , 4253-99
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<div align="left"> CFTC Announces Roundtable on Proposed Rules on Access to Automated Boards of Trade, , 4252-99
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<div align="left"> Commodity Futures Trading Commission Furthers Education Initiative Related to Agricultural Trade Options, <u>, 4251-99
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CFTC Files Enforcement Action Alleging Commodity Options Fraud Against Wellington Financial Groups, Inc., 4250-99
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