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New York Court Enters Order Imposing a Fine and Other Sanctions against Boris Shuster of Fort Dix, New Jersey, in a Foreign Currency Scam, 5599-09
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CFTC Charges James Ossie and CRE Capital Corporation with Operating a $25 Million Foreign Currency Ponzi Scheme, 5598-09
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CFTC Sanctions Four Commodity Pool Operators for Failing to File Timely Reports with the National Futures Association, 5596-09
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CFTC Charges Philadelphia-area Resident with Operating $50 Million Ponzi Scheme, 5594-09
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Florida Resident Joerg Heierle and Swiss Corporation INH-Interholding SA Ordered to Pay More Than $9 Million in Restitution and Penalties in CFTC Commodity Pool Anti-Fraud Action, 5590-08
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CFTC Orders Brooklyn-Based Commodity Pool Operator and its Principal to Pay $1,350,000 in Restitution and Civil Monetary Penalties for Fraud, Misappropriation, and Furnishing False Documents to the National Futures Association, 5589-08
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Connecticut Federal Court Orders Argentine Trader Diego Mariano Rolando to Pay More Than $10 Million in CFTC Anti-Fraud Action, 5588-08
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New York Federal Court Orders Hedge Fund Linuxor Asset Management LLC, and its Principal Abbas A. Shah to Pay a $200,000 Civil Penalty in CFTC Anti-Fraud Action, 5586-08
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Dairy Farmers of America and Two Former Executives to Pay $12 Million Penalty to Settle CFTC Charges of Attempted Manipulation and Speculative Position Limit Violations, 5584-08
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Nevada Firm Alliance Development Co. and William Snyder Ordered to Pay $3.65 Million in Restitution and Penalties for Operating a Commodity Pool Scam in CFTC Anti-Fraud Action, 5582-08
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Florida Federal Court Orders Nine Defendants in CFTC Foreign Currency (Forex) Anti-Fraud Action to Pay More than $12 Million in Penalties and Customer Restitution, 5580-08
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California Federal Court Freezes Assets of Paul Abad and His Company, Thirteen Thirty-Two, Inc. in CFTC Anti-Fraud Action, 5578-08
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Florida Federal Court Issues Preliminary Injunctions in CFTC Anti-Fraud Action against Florida Commodity Pool Operator Phoenix Diversified Investment Corporation, Inc., and its Principal Michael A. Meisner, 5576-08
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Michigan-Based Aurifex Commodities Research Co. Ordered to Pay a Total of $150,000 in Restitution and Civil Monetary Penalties to Resolve CFTC Charges of “Private Hedge Fund” Fraud, 5573-08
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Utah-Based 4NExchange and Two Individuals Ordered to Pay $720,000 in Penalties to Resolve CFTC Charges of Fraud and Misappropriation in Foreign Currency Scam, 5572-08
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CFTC Charges Former Energy Trader David P. Lee with Fraud for Mis-Marking Bank of Montreal’s Natural Gas Options Book to Exaggerate Trading Profitability; Kevin Cassidy and Others Charged with Assisting Lee in the Fraud, 5571-08
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Former Enserco Energy Trader Matthew Reed to Pay $475,000 to Settle CFTC Charges of False Reporting and Attempted Manipulation of Natural Gas Prices, 5570-08
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California Resident Jinsup Choi Ordered to Pay More than $10 Million in Restitution and a $1 Million Monetary Penalty for Defrauding Investors in a “Ponzi” Scheme Involving Commodity Futures Contracts, 5568-08
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Western Virginia Man Found Guilty of 37 Counts Related to Defrauding Commodity Pool Investors out of Millions, 5567-08
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CFTC Sanctions Former NYMEX Clerk Brian Keane $90,000 for Fraudulent Trade Practice Scheme, 5564-08
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Jacksonville Resident Stephanie Ann Gallitano and Her Fort Lauderdale-Based Companies Ordered to Pay More than $5 Million in Restitution and Civil Monetary Penalties in CFTC Forex Anti-Fraud Action, 5563-08
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CFTC’s 2008 Fiscal Year Enforcement Roundup: Agency Files 40 Actions, Obtains Record Amount in Penalties and Fines, Discloses Crude Oil Investigation, Forms Forex Task Force, 5562-08
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CFTC Charges Michael Derrick Peninger and His Company, CSA Trading Group, Inc., With Fraud and Misappropriation in $1 Million Commodity Pool Scam, 5559-08
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CFTC Charges North Carolina Man and Two Companies with Solicitation Fraud and Misappropriation of Approximately $1.3 Million of Customer Funds in Commodity Pool Scheme, 5558-08
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U.S. District Court Orders Five Individuals and Firms to Pay More than $23 Million in Connection With the CFTC Cooperative Law Enforcement Investigation “Operation Wooden Nickel”, 5557-08
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CFTC Sues Boca Raton Resident Michael A. Meisner and His Company, Phoenix Diversified Investment Corp., in Commodity Pool Anti-Fraud Action, 5556-08
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CFTC Sanctions Four Registered Commodity Pool Operators for Failing to File Timely Commodity Pool Reports with the National Futures Association, 5555-08
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CFTC Files Action to Revoke the Registration of Philadelphia Alternative Asset Management Company, 5554-08
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Pennsylvania Resident Gary Scholze Ordered to Pay $1 Million Civil Monetary Penalty in Commodity Futures and Options Anti-Fraud Case, 5550-08
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CFTC Files Action to Revoke the Registration of Portland, Oregon, Hedge Fund Beacon Rock Capital, LLC, 5549-08
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Joseph Clark Lavin and His Companies Ordered to Pay More than $23 Million in Restitution and Civil Monetary Penalties in Retail Foreign Currency Options Case, 5548-08
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U.S District Court Imposes Sanctions of More than $2.9 Million Against Foreign Fund, Two Individuals, and a Tennessee Corporation in CFTC Anti-Fraud Action, 5545-08
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South Florida Residents Frank Anthony DeSantis III and Doreen Rose Valko Ordered to Pay More than $8 Million in Restitution and Penalties for Operating a Foreign Currency Options Scam, 5544-08
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CFTC Orders Sempra Energy Trading LLC to Pay $175,000 to Settle Trading Card Violations in Connection with Natural Gas Futures Trading on the NYMEX, 5540-08
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California Commodity Pool Operator and its Sole Manager Charged in Federal Court with Commodity Pool Fraud, 5539-08
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Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC, 5538-08
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CFTC Sanctions Former NYMEX Broker Ryan Tremblay $50,000 for Fraudulent Trade Practice Scheme, 5536-08
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