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CFTC CHARGES NEW YORK HEDGE FUND, LINUXOR ASSET MANAGEMENT, AND ITS PRINCIPAL, ABBAS A. SHAH, WITH FRAUD; CFTC Alleges that Linuxor and Shah Defrauded Fund Participants by Failing to Send Them Required Periodic Statements and by Misrepresenting the Value of the Fund; Defendants Also Charged With Failure to Send Timely Required Annual Reports to the National Futures Association , 5115-05 |
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CFTC CHARGES FORMER HEAD OF NATURAL GAS TRADING DESK AT AEP ENERGY SERVICES, INC. WITH ATTEMPTED MANIPULATION AND FALSE REPORTING; Joseph P. Foley Allegedly Directed the Submission of Thousands of False Reports About Natural Gas Trades to Skew Natural Gas Indexes , 5114-05 |
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CFTC ASSISTS IN SUCCESSFUL CRIMINAL PROSECUTION OF STUART MICHAEL HELFFRICH, Convicted of Wire Fraud and Fraudulent Conversion of his Customers' Commodity Futures Positions , 5113-05 |
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CFTC FREEZES OVER $1.5 MILLION OF HEDGE FUND'S ASSETS IN FRAUD CASE; CFTC Charges Stuart Pippin, Individually And Doing Business As Pippin Investments, With Fraud For Issuing False Trading Results To Pool Participants , 5112-05 |
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CFTC Fines Foreign Futures and Options Broker Credit Lyonnais Rouse Limited for Entering Illegal, Prearranged Futures Trades on U.S. Markets , 5111-05 |
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CFTC SUES FORMER BROOKLYN RESIDENT DAWN MUSOROFITI FOR COMMODITIES FRAUD; CFTC Alleges That Musorofiti Defrauded Customers By Promising Large Profits Without Risk and Pretending to Be a New York Mercantile Exchange Broker , 5109-05 |
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HAWAIIAN RESIDENT BARRY SCHOTZ ORDERED TO PAY $4.5 MILLION IN SETTLEMENT OF CFTC FRAUD ACTION; Court Also Enjoins Los Angeles-Area Resident Randolph Gale in Same Commodity Pool Fraud Scheme , 5107-05 |
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CFTC Revokes Registration of Palomino Capital Management, A Commodity Pool Operator in Pittsburgh, Pennsylvania , 5106-05 |
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CFTC SUSPENDS AND RESTRICTS REGISTRATION OF CHICAGO MERCANTILE EXCHANGE TRADER DEAN KAULENTIS; Cattle Trader's Registration Suspended for Six Weeks and Then Restricted for Three Years , 5105-05 |
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CFTC BRINGS FRAUD CHARGES AGAINST FLORIDA FATHER AND SON, JACK AND CHRIS SMITHERS; CFTC Alleges That Jack and Chris Smithers, and Their Company, Prosperity Consultants, Inc., Fraudulently Solicited Customers to Trade Commodity Futures Contracts; Chris Smithers Also Charged With Breach of Prior Injunction , 5104-05 |
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CFTC CHARGES FLORIDA FOREIGN CURRENCY FIRM PRESIDENTIAL FX, INC. AND TWO EMPLOYEES WITH FRAUD; CFTC Alleges That Firm and Employee Joseph Marchiano Fraudulently Solicited Customers to Trade Foreign Currency Options; Adam León is Charged as a Controlling Person of Presidential , 5102-05 |
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CFTC CHARGES OXNARD, CALIFORNIA RESIDENT BRETT E. LOVETT WITH DEFRAUDING COMMODITY FUTURES CUSTOMERS; CFTC Alleges Lovett Cheated Fellow Church Member; Federal Court Issues Order Freezing Defendant's Assets , 5101-05 |
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CFTC AND STATE OF CALIFORNIA CHARGE SAN FRANCISCO FOREIGN CURRENCY FIRM NATIONAL INVESTMENT CONSULTANTS, INC. AND OTHER COMPANIES AND INDIVIDUALS WITH FRAUD; Federal Court Freezes Assets of National Investment Consultants, Inc.; South China Investments, Inc.; Pacific Best Group Limited, a.k.a. Pacific Best Company Ltd.; Run Ping Zhou, a.k.a Flora Zhou; Yi Kerry Xu; and Wei M. Tse, a.k.a. Raymond Tse , 5099-05 |
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U.S. COMMODITY FUTURES TRADING COMMISSION CHARGES IOWA MAN WITH FRAUD; CFTC Alleges that Victor Lochmann Misappropriated Customer Funds and Engaged in Unauthorized Trading , 5098-05 |
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FEDERAL COURT ENTERS JUDGMENTS AGAINST MICHIGAN AND NEW JERSEY RESIDENTS AND TWO PANAMANIAN COMPANIES IN MARQUIS COMMODITY POOL FRAUD CASE; Court Orders Payments To Customers And Penalties Totaling More Than $2.5 Million , 5096-05 |
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CFTC OBTAINS PRELIMINARY INJUNCTION PREVENTING FLORIDA COMMODITY TRADING FIRM, UNITED INVESTORS GROUP, INC. AND FIVE EMPLOYEES, FROM VIOLATING THE COMMODITY EXCHANGE ACT; Nearly 98 Percent Of Accounts Opened At UIG Between August 2003 And June 2004 Lost Money Trading Commodity Options; Customers Lost More Than $6.1 Million, While UIG Charged Over $4.25 Million In Commissions And Fees , 5095-05 |
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CFTC CHARGES ILLINOIS RESIDENT CAMERON CHARLES WITH DEFRAUDING HIS EMPLOYER, WATSEKA FARMERS GRAIN CO. COOPERATIVE , 5094-05 |
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U.S. COMMODITY FUTURES TRADING COMMISSION SANCTIONS UK AND GERMAN TRADING COMPANIES FOR ILLEGALLY PREARRANGING FUTURES TRADES THAT REPRESENTED FICTITIOUS SALES ON U.S. MARKETS , 5093-05 |
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FEDERAL COURT FREEZES ASSETS OF FIVE FLORIDA FOREIGN CURRENCY (FOREX) BOILER ROOMS AND FIVE INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $17 MILLION; U.S. Commodity Futures Trading Commission Charges Fraudulent Solicitation of Customers to Trade Foreign Currency Options Contracts By Defendants World Market Advisors, Inc., U.S. Capital Management, Inc., United Equity Group, Inc., Liberty One Advisors, LLC, Lighthouse Capital Management, LLC, Jason T. Dean, Steven D. Knowles, Paul F. Plunkett, Joseph D. Valko and Jeffrey Paul Jedlicki; Universal Options, Inc., Qualified Leverage Providers, Inc. and Safeguard FX, LLC Also Charged With Liability As Principals; Complaint Charges More Than 96 Percent of Customers Lost Money While Paying Defendants $8.6 Million in Commission , 5092-05 |
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CFTC OBTAINS FEDERAL COURT FREEZE OF ASSETS OF PHILADELPHIA COMPANY AND ITS PRESIDENT IN FRAUD ACTION INVOLVING HEDGE FUND AND $230 MILLION COMMODITY POOL; CFTC Charges Philadelphia Alternative Asset Management Co., LLC, And Its President, Paul M. Eustace, With Issuing False Trading Results To Pool Participants; National Futures Association Assists CFTC In Its Action , 5091-05 |
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FEDERAL COURT FREEZES ASSETS OF FLORIDA ILLEGAL OFF-EXCHANGE METALS OPTIONS FIRM AND TWO CORPORATE OFFICERS; CFTC Charges E-Metal Merchants, Inc., Benji Dayan, And Andrew Stern With Illegal Metals Options Trading , 5089-05 |
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CFTC CHARGES FLORIDA FIRM COMMODITY INVESTMENT GROUP AND ITS PRINCIPALS WITH FRAUD RESULTING IN OVER $9 MILLION IN LOSSES TO CUSTOMERS; CFTC Alleges That Linda and Michael Kuhney Fraudulently Solicited Customers To Trade Commodity Options Contracts , 5088-05 |
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ILLINOIS MAN SANCTIONED FOR UNAUTHORIZED COMMODITY TRADING; CFTC Imposes Trading Ban and Monetary Penalty on David J. Mueller , 5087-05 |
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FEDERAL COURT FREEZES ASSETS OF FLORIDA FIRM WINDSOR FOREX TRADING CORP. AND ITS OWNER, ANTHONY FRISONE, IN FOREIGN CURRENCY (FOREX) FRAUD CASE; Registered Futures Commission Merchant COES FX Clearing, Inc. Consents to Entry of Preliminary Injunction , 5086-05 |
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CFTC SETTLES CHARGES AGAINST AUDITOR G. VICTOR JOHNSON AND THE ACCOUNTING FIRM OF ALTSCHULER, MELVOIN & GLASSER LLP FOR AUDITING FAILURES; Respondents to Pay $350,000 in Fines and Restitution, and Repay Fees , 5085-05 |
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CFTC CHARGES FLORIDA COMMODITY POOL OPERATOR LONGBOAT GLOBAL FUNDS MANAGEMENT, LLC AND ITS PRESIDENT, ROBERT JOSEPH BEASLEY, WITH FRAUD; CFTC Alleges That Defendants Fraudulently Misrepresented Certain Investments , 5084-05 |
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CFTC AND STATE OF NEW HAMPSHIRE BRING SALES FRAUD CLAIMS AGAINST FLORIDA TRADING FIRM CROMWELL FINANCIAL SERVICES, INC. AND OTHERS; Complaint by U.S. Commodity Futures Trading Commission and the New Hampshire Secretary of State, Bureau of Securities Regulation, Charges Cromwell Financial Services, Inc. and Certain Employees with Defrauding Customers and Failure to Supervise , 5083-05 |
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CFTC SEEKS ENFORCEMENT OF SUBPOENA SERVED ON MCGRAW-HILL; CFTC Moves to Compel Production of Natural Gas Trade Data , 5082-05 |
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CFTC Charges Hugh J. Maddox with Fraudulent Trade Allocation Scheme , 5081-05 |
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BRITISH COLUMBIA CITIZEN KEVIN STEELE CHARGED WITH DEFRAUDING OVER 200 PARTICIPANTS, INCLUDING U.S. RESIDENTS, IN $7.5 MILLION COMMODITY POOL SCHEME; Scheme Touched Victims Worldwide , 5080-05 |
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CFTC CHARGES THREE FLORIDA MEN AND TWO COMPANIES WITH $3 MILLION FOREIGN CURRENCY OPTIONS FRAUD; Melvin Webman, Larry Webman, Lyle Wexler, International Forex Advisory Group, and Worldwide Currencies Corp. Charged with Defrauding Over 125 Customers , 5079-05 |
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FORMER WILLIAMS NATURAL GAS TRADER AGREES TO COOPERATE WITH GOVERNMENT; CFTC Continues Probe Into Illegal Conduct by Natural Gas Traders , 5078-05 |
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CFTC CHARGES OKLAHOMA RESIDENT RANDY STEVE LANIER WITH DEFRAUDING CUSTOMERS , 5077-05 |
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CFTC SANCTIONS LOS ANGELES-AREA COMMODITY POOL OPERATOR JAMES WEATHERFORD, DOING BUSINESS AS MANAGED MINI.COM , 5075-05 |
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CFTC CHARGES THREE DEFENDANTS IN FLORIDA AND ONE DEFENDANT IN CALIFORNIA WITH FOREIGN CURRENCY OPTIONS FRAUD: Amended Complaint Alleges the Defendants’ Activities Caused Losses of More than $5.8 Million to at Least 350 Customers , 5073-05 |
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CALIFORNIA FEDERAL COURT ORDERS CITY TRUST AND INVESTMENT CO. LTD. OF TOKYO, JAPAN, TO PAY MORE THAN $11 MILLION IN FOREIGN CURRENCY SCAM; Federal Court Orders Defendant to Pay Civil Penalty and Repay Defrauded Customers , 5072-05 |
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KANSAS FEDERAL COURT ORDERS CALIFORNIA RESIDENT DEREK ABRAHAMS TO PAY CIVIL PENALTY FOR FRAUDULENTLY PROMOTING COMMODITY TRADING SYSTEMS , 5071-05 |
