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CFTC & FEDERAL CRIMINAL LAW ENFORCEMENT OFFICERS GATHER FOR COOPERATIVE ENFORCEMENT MEETING FOCUSED ON THE ENERGY MARKETS; CFTC's Division of Enforcement Shares Investigative Experiences with Colleagues from the President's Corporate Fraud Task Force , 4754-03 |
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FLORIDA FOREIGN CURRENCY FIRM AND OTHERS CHARGED WITH FRAUD; CFTC Obtains Federal Court Order Freezing Assets of Defendants InterTrade Forex, Inc., Stanley Craig Wakefield and Pritesh Patel , 4753-03 |
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TEXAS RESIDENT CHARGED WITH SWINDLING MILLIONS FROM INVESTORS AND SPENDING MONEY ON GAMBLING, JEWELRY, AND AUTOMOBILES; CFTC Charges John A. Wheeler and His Companies with Fraudulent Solicitation and Misappropriation in Connection with Purported Foreign Currency Trading; Court Enters Preliminary Injunction Against Defendants, Freezing Their Assets, Among other Sanctions , 4750-03 |
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FLOOR BROKER SETTLES CHARGES OF UNLAWFULLY TRADING COFFEE FUTURES; CFTC Finds that Ronald Kilbride Engaged in Fraud, Bucketing of Customer Orders and Reporting Non-Bona Fide Prices, Noncompetitive Trading, Wash Sales and Accommodation Trades , 4749-03 |
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FEDERAL COMMODITIES ENFORCER CHARGES SALT LAKE CITY ATTORNEY DONALD J. PURSER WITH FRAUD; Utah Federal Court Permits CFTC to Add Parties and Expand Allegations in Existing Commodity Pool Fraud Case , 4746-03 |
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CFTC ESTABLISHES TOLL-FREE COMPLAINT LINE [866-FON-CFTC] AND URGES THE PUBLIC TO USE IT TO REPORT SUSPICIOUS ACTIVITIES INVOLVING COMMODITIES , 4745-03 |
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FORMER DYNEGY MARKETING AND TRADE EMPLOYEE CHARGED WITH COMMODITY DECEPTION AND WIRE FRAUD; Former Natural Gas Trader Charged Criminally Under the Commodity Exchange Act With Intentionally Reporting False Natural Gas Price and Volume Information to Energy Reporting Firms in an Attempt to Affect Prices of Natural Gas Contracts , 4744-03 |
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WORLD-WIDE CURRENCY SERVICES CORP. AND OTHERS CHARGED WITH DEFRAUDING CUSTOMERS IN CURRENCY SCAM; CFTC Also Charges World-Wide Director Gennady (George) Spivak and Salesman Ellison Ken Morris with Defrauding Customers in Foreign Currency (FOREX) Futures Trading, Misappropriating Customer Funds, and Operating and Illegal FOREX Futures Business , 4743-03 |
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FLORIDA FIRM, INVESTORS FREEDOM CLUB, L.C. AND OTHERS, CHARGED WITH SOLICITING OVER $1.5 MILLION FROM CUSTOMERS IN FOREIGN CURRENCY (FOREX) FUTURES FRAUD; Government Obtains Federal Court Order Freezing Assets of Defendants Investors Freedom Club, L.C., William Folino, George Belanger, and Relief Defendant Tina Folino , 4742-03 |
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FLORIDA FEDERAL COURT REQUIRES CHIEF INVESTMENT OFFICER TO PAY $16 MILLION IN RESTITUTION TO DEFRAUDED SUNSTATE FX INC. INVESTORS IN CFTC ENFORCEMENT ACTION , 4740-03 |
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MICHIGAN RESIDENT STEPHEN PIERCE SETTLES CFTC ACTION CHARGING INTERNET FRAUD VIOLATIONS, CFTC Order Requires Pierce To Pay A Civil Monetary Penalty and Comply with Undertakings , 4739-03 |
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CHICAGO MAN CHARGED WITH FRAUDULENTLY PROMOTING HIS COMMODITY TRADING SYSTEM; CFTC Alleges Gregory Elliott (d/b/a Softrade, Inc.) Made False Claims Concerning Profits Generated by His Commodity Trading System , 4738-03 |
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NEW YORK FOREIGN CURRENCY FIRM CHARGED WITH FRAUDULENTLY SOLICITING RETAIL CUSTOMERS OVER THE INTERNET TO INVEST IN ILLEGAL, OFF-EXCHANGE FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Charges Rouslan Tambiev and Tamb International, Inc., Both Located in Queens, New York, With Fraud , 4737-03 |
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CFTC SETTLES ACTION AGAINST HEDGE FUND AND SUSPENDS ITS REGISTRATIONS; Beacon Hill Asset Management, LLC Agrees to Suspension of Registrations , 4734-03 |
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CFTC REVOKES MICHIGAN COMMODITY TRADING ADVISOR'S REGISTRATIONS , 4733-03 |
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CFTC SETTLES ENFORCEMENT ACTION AGAINST FLORIDA FIRM AND ITS OWNER; FIRM USED FRAUDULENT SCHEME TO SOLICIT OVER $400,000 FROM UNSOPHISTICATED INVESTORS; $K's Forex International, Inc., a Florida Firm d/b/a SK's Forex International, Inc., and Elizabeth Miskus Kemp, Found to Have Operated Illegal Foreign Currency (FOREX) Futures Trading Firm and to Have Misappropriated Customer Funds , 4732-03 |
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CFTC CHARGES CHICAGO FUTURES FIRM AND ITS PRESIDENT WITH FAILURE TO SUPERVISE; Robbins Futures, Inc. and Joel Robbins Ignored Signs of Ponzi Scheme , 4731-02 |
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CFTC SUES LAS VEGAS MAN FOR FRAUDULENTLY PROMOTING HIS COMMODITY TRADING METHOD; CFTC Alleges Charles Cox Made False Claims Concerning Profits Generated by His Commodity Trading Method , 4730-02 |
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CFTC SETTLES COMMODITY FRAUD ACTION AGAINST MARYLAND MAN AND FIRM; District Court Orders Defendants Peter Scott and Rothlin & Windsor Capital Management, Inc. to Pay $13.9 Million in Restitution and Civil Monetary Penalties , 4729-02 |
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COMMODITY FUTURES TRADER CHARGED WITH $1.5 MILLION FRAUD; U.S. GOVERNMENT AND UTAH ATTORNEY GENERAL ALLEGE FRAUD AND THEFT BY DECEPTION; Federal Court Freezes Assets and Bars the Destruction of Books and Records , 4726-02 |
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CFTC FINDS COMEX FLOOR BROKERS HENRY CHANDLER AND ERNEST PENNY COMMITTED FRAUD IN EXECUTING GOLD OPTIONS TRADES, AND FIVE OTHER FLOOR BROKERS ENGAGED IN NONCOMPETITIVE TRADING, AMONG OTHER VIOLATIONS OF THE FEDERAL COMMODITIES LAWS; CFTC Accepts Offers of Settlement from Henry Chandler, Robert Ferraioli, Michael Hammer, Ernest Penny, Tacho Sandoval, William Wosnack, and Stephen Seelenfreund , 4725-02 |
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CFTC SUES IDAHO MAN FOR FRAUDULENTLY PROMOTING HIS COMMODITY TRADING SYSTEM; CFTC Alleges John Stenberg Made False Claims Concerning Profits Generated by His Commodity Trading System , 4722-02 |
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NEW YORK FLOOR BROKER SETTLES CFTC ACTION CHARGING RECORDKEEPING VIOLATIONS; CFTC Order Requires Daniel Lipton to Pay A Civil Monetary Penalty and Restricts His Registration for Two Years , 4719-02 |
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FLORIDA COURT FINDS TWO FLORIDA RESIDENTS AND THEIR FIRM COMMITTED COMMODITIES FRAUD; Defendants Matrix Trading Group, Inc., David Wedeen, and Christopher Smithers Are Ordered to Pay Restitution to Victims and Are Permanently Banned from All Commodity-Related Activity in CFTC Action , 4716-02 |
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MICHIGAN COMMODITY TRADER SETTLES CFTC COMPLAINT CHARGING COMMODITY POOL FRAUD; Consent Order Finds that John F. O'Herron and O'Herron Asset Management, Inc. Fraudulently Diverted Approximately $1.4 Million of Investor Funds for Their Own Use , 4713-02 |
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WASHINGTON STATE COMMODITY TRADING FIRM CHARGED WITH FRAUD IN THE SOLICITATION OF FOREIGN CURRENCY (FOREX) FUTURES ACCOUNTS; Defendant Sterling forex Lost $1.8 Million in Customer Investments , 4711-02 |
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PRUDENTIAL SECURITIES, INC. SETTLES CFTC RECORDKEEPING CHARGES; CFTC Orders Prudential Securities, Inc. to Pay $65,000 Civil Monetary Penalty , 4710-02 |
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FLORIDA RESIDENT BARRED FROM COMMODITY TRADING IN GOVERNMENT ACTION; Defendants in CFTC Case Used Approximately $1 Million of Customer Funds to Pay Personal Expenses , 4709-02 |
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CFTC SETTLES ENFORCEMENT ACTION AGAINST FLOOR BROKER CHARGED WITH UNLAWFULLY TRADING COFFEE FUTURES; John Joyce Is Suspended For Three Months and Ordered to Pay $25,000 Penalty , 4708-02 |
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ST. LOUIS COMMODITY TRADER AND HIS COMPANY CHARGED WITH TAKING AS MUCH AS $494,000 FROM INVESTORS; CFTC Also Charges Defendants With Giving Investors False Account Statements Showing Profitable Trading When the Defendants Were Losing Money , 4706-02 |
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SISTER OF A FORMER EMPLOYEE OF A CHICAGO COMMODITY FIRM AGREES TO TURN OVER MONEY HER BROTHER GAVE HER AS PART OF HIS FRAUDULENT SCHEME; CFTC Also Obtains Default Judgment Against Other Remaining Relief Defendants , 4705-02 |
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TWO TEXAS MEN SETTLE FEDERAL CHARGES OF FRAUDULENT COMMODITY SCHEME; CFTC Imposed Penalties and Trading Bans , 4704-02 |
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FLORIDA RESIDENT CHARGED WITH SWINDLING AT LEAST $10.6 MILLION FROM INVESTORS AND SPENDING MONEY ON LAS VEGAS JUNKETS, AIRPLANE CHARTERS, HOMES, AND AUTOMOBILES, CFTC Charges Donald C. O'Neill and His Companies with Fraudulent Solicitation and Misappropriation in Connection With Purported Foreign Currency Hedge Funds , 4703-02 |
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ATLANTA INVESTMENT FIRM AND ITS CHIEF EXECUTIVE OFFICER CHARGED WITH SOLICITING OVER $400,000 FROM CUSTOMERS TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; Government Obtains Federal Court Order Preventing Defendants from Offering Illegal FOREX Contracts and Freezing Assets of Defendants Advent Capital Partners, Ltd. and Samuel Daley , 4697-02 |
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FORMER EMPLOYEE OF AVISTA ENERGY, INC. SETTLES MANIPULATION CHARGES; CFTC Orders Robert Kristufek To Pay $155,000 Civil Monetary Penalty and Imposes Two-Year Trading Ban , 4696-02 |
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ILLINOIS MAN AND HIS FIRM CHARGED WITH SWINDLING OVER $1.4 MILLION IN COMMODITY FRAUD; CFTC Charges John Martin Lofgren and Melrose Asset Management With Fraud , 4695-02 |
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CALIFORNIA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING COMMODITY OPTIONS FRAUD; Madison Financial Group, LLC, and Its President and a Principal, Richard A. Cohen, Are Permanently Barred From Trading Commodity Futures and Options , 4694-02 |
