|
Ohio Court Issues Permanent Injunction Against Jeffrey A. Smith of Westerville, Ohio, Ordering Him to Disgorge Ill-Gotten Gains, 4107-98 (C2-94-981) , February 17, 1998., 4107-98
|
|
CFTC Adopts Amendments to Its Risk Disclosure Rules Governing Futures Commission Merchants and Introducing Brokers, 4106-98
|
|
New York Court Issues Preliminary Injunctions Against William Sanchez and Brian Willis in CFTC Anti-Fraud Enforcement Action, Which Also Charges Worldwide Commodities Ltd. and Templar International Ltd, 4105-98 (97 Civ 5255) , February 12, 1998., 4105-98
|
|
CFTC Institutes Proceedings Against William Koerner and IV Great River Corp. -- Both of Vero Beach, Florida -- Alleging Fraud and Simultaneously Settles the Charges, 4104-98 (CFTC Docket 98-5) , February 9, 1998., 4104-98
|
|
CFTC Files Amended Complaint in CFTC v. FTI Financial Group Charging Four Additional Defendants in Ohio With Fraud, Among Other Violations of Federal Commodity Law, 4103-98 (CIV-97-C7061) , February 9, 1998., 4103-98
|
|
CFTC Files Complaint Against James F. Bonney of Plover, Wisconsin Alleging that He Committed a $540,000 Commodity Fraud, 4102-98 (Civ 98-C0087C) , February 5, 1998., 4102-98
|
|
CFTC Seeks Public Comment on the Application of Cantor Financial Futures Exchange to Become Designated as a Contract Market For Computer-Based Trading of Various U.S. Treasury Securities Futures Contracts, 4101-98
|
|
CFTC Seeks Public Comment on the Regulation of Noncompetitive Transactions Executed on or Subject to the Rules of an Exchange, 4100-98
|
|
CFTC Seeks Public Comment on a Proposed Regulation to Establish Conflict of Interest Restrictions for Self-Regulatory Organizations Governing Boards and Committees, 4099-98
|
|
Hawaii Court Issues Preliminary Injunction in CFTC Enforcement Action Against Brien Sullivan, 4098-98
|
|
Commodity Futures Trading Commission Seeks Public Comment on Proposed Procedures for Requesting Exemptive, No-Action and Interpretative Letters 4097-98 , January 13, 1998, 4097-98
|
|
RESPONDENTS ORDERED TO PAY $460,000 IN CIVIL FINES FOR ROLE IN INTERNATIONAL COMMODITY SCHEMES AND BARRED FROM THE COMMODITIES INDUSTRY FOR AIDING AND ABETTING FRAUD BY TWO GERMAN-BASED BROKERAGE FIRMS, 4096-98 (CFTC Docket 95-8 and 95-9) , January 12, 1998., 4096-98
|
|
CFTC Appoints Chairperson Born as Chair of its Financial Products Advisory Committee and Commissioner Spears as Chair of its Agricultural Advisory Committee, 4095-98
|
|
CFTC Proposes to Amend its Regulation 1.35(a-1) to Permit Regulated Investment Managers to Place Bunched Orders for Futures and Futures Option Contracts Without Individual Account Identifiers and to Allocate Those Orders on a Post-Trade Basis, 4094-98
|
|
Commodity Futures Trading Commission Issues a Concept Release on the Denomination of Customer Funds and the Location of Depositories, 4093-98
|
|
CFTC Seeks Public Comment on Proposed Amendments to Rule 1.12 That Will Require an FCM to notify Immediately the CFTC When it Becomes Undersegregated or Undersecured 4092-98 , January 7, 1998, 4092-98
|
|
CFTC Files Complaint Charging New York Currency Research Corporation with Failure to Produce Books and Records, 4089-97 (CFTC Docket #98-3)
|
|
CFTC Files Administrative Complaint Against Reifler Trading Corp., Liberty Futures, Inc., and Three Individuals Alleging Unregistered "Correspondent" Relationships, Among Other Violations of Federal Commoidty Law and CFTC Regulations, , 4088-97 (CFTC Docket #98-2)
|
|
Commodity Futures Trading Commission Proposes Repealing Commission Reugulation 33.4(a)(2) in Order to Permit the Futures-Style Margining of Commodity Options Traded on Regulated Futures Exchanges, 4087-97
|
|
Ohio Court Permanently Bars Allied Financial Group, Inc (AFG) of Powell, Ohio, and Robert Bobo from the Futures Industry; AFG and Bobo Agree to Pay Restitution to Defrauded Investors, 4086-97 (C2-94-981)
|
|
CFTC Provides Guidance to NFA Concerning Floor Broker and Floor Trader Cases, 61-97
|
|
Linda J. Ferren Appointed Executive Director of CFTC, 4085-97
|
|
CFTC Requests Public Comment on Draft Proposed Revisions by the CBT to Corn and Soybean Futures Contracts, 4084-97
|
|
CFTC Files Civil Action Against James M. Zoller and Tech-Comm Limited Partnerships For Fraud: Court Issues Preliminary Injunction , 4083-97 (Civ 97-5691)
|
|
CFTC Charges Florida Companies, Three Principals, With Nationwide Telemarketing Scheme Involving Illegal Off-exchange Futures Contracts in Precious Metals, Heating Oil, Other Commodities , 4082-97 (Civ 97-7422)
|
|
Florida Court Finds Richard E. Maseri in Contempt for His Transfer of Frozen Assets in Violation of Consent Order of Preliminary Injunction; Maseri Is Ordered to Pay $33,000, 4081-97 (Civ 95-6970)
|
|
Chairperson Born Expresses Appreciation to Commissioner Joseph Dial, 4080-97
|
|
Michigan Court Issues Permanent Injunction Finding That Daniel M. O'Shaughnessey Defrauded Pool Customers of Over $435,000, 4079-97
|
|
CFTC's Financial Products Advisory Committee to Meet on November 13, 1997, 4078-97
|
|
CFTC Orders the Chicago Board of Trade to Change Delivery Specifications For Its Corn and Soybean Futures Contracts, 4077-97
|
|
CFTC Issues Order Granting CME a Dual Trading Exemption for the S&P 500 Futures Contract Market and A Proposed Order Granting CME Conditional Dual Trading Exemptions for Seven Other High-Volume Contract Markets, 4076-97
|
|
CFTC Issues Proposed Order Granting CBT Conditional Dual Trading Exemptions for 13 High-Volume Contract Markets, 4075-97
|
|
Pennsylvania Court Issues Permanent Injunction Against Robert H. Rutman in CFTC Anti-Fraud Enforcement Action, Effectively Barring Him From the Futures Industry, 4074-97
|
|
CFTC Notifies the New York Futures Exchange of the Results of A Rule Enforcement Review, 4073-97
|
|
Year 2000 Computer Problem, 55-97
|
|
Commodity Derivatives Regulator Publish Guidance on Strengthening the Supervision of International Markets, 4072-97
|
|
CFTC ALJ Finds First Commercial Financial Group, Inc. (FCFG) Mark E. Rehn and John A. Hermanson Liable for Violating Capital Requirements and Filing False Reports in Connection With Check-Kiting Scheme, 54-97
|