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Minnesota and Wisconsin Defendants Barred from U.S. Futures Markets by Federal Court for Commodity Scam; Two Individuals and Three Companies Must Pay Up to $561,452 in Restitution and Up to $671,452 in Civil Fines , 4539-01 |
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CFTC Settles Case Against Commodity Firm for Fraudulent Advertising; Federal Regulator Finds that CTS Financial Publishing and Others Used Over One Million Mailings and the Internet to Fraudulently Tout the Potential for Large Profits , 4538-01 |
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CFTC Settles Case Against Kentucky Man For Fraudulently Selling Commodity Trading System; Federal Regulator Finds that Donald M. Fishback, Jr. Represented to Investors that his Company's Trading System Could "Virtually Eliminate Losing Trades", , 4537-01 |
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CFTC Files and Settles Fraud Action Against Commodity Trader Who Claimed to Make "A Killing," , 4536-01 |
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CFTC Participates in Second Annual International "Internet Surf" Day to Uncover Fraudulent Promotion of Commodity Schemes, , 4535-01 |
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CFTC Files Action Against California Resident for Violating Exchange Trading Limits; CFTC Alleges that Andy Saberi Violated the Trading Limits For Pork Belly Futures Set by the Chicago Mercantile Exchange , 4533-01 |
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Maine Resident Charged with Defrauding Over 200 Investors; CFTC Alleges that Edward W. Knipping and Time Traders, Inc. Fraudulently Operated a $5.9 Million Commodity Pool and Misappropriated Investor Funds , 4529-01 |
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Ohio Commodity Companies Charged with Offering Phony Investments; CFTC Alleges that Two Ohio Firms-- International Monetary Group, Inc. and Currency Management Group, Inc.--and Three Ohio Residents - Anthony Dellarciprete, Emido Dellarciprete, and James Lemmon -- Fraudulently Solicited the Retail Public to Invest in Illegal Foreign Currency Options (FOREX) , 4528-01 |
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CFTC Charges Florida Commodity Firm with Fraud; CFTC Alleges That First Investors Group of the Palm Beaches Used Fraudulent Infomercial and Sales Pitches To Solicit Customers , 4527-01 |
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CFTC Charges LA Commodity Firm with Fraud; CFTC Alleges That Madison Financial Group Told Salesmen To "Make Up A Story" To Solicit Customers, , 4523-01 |
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Floor Broker - Michael H. Varner - Charged with Violating a 1999 CFTC Order , 4522-01 |
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WISCONSIN RESIDENT MICHAEL JAMES KONKEL BARRED FROM TRADING COMMODITY INVESTMENTS IN CFTC FRAUD CASE; Alabama Federal Court Requires Defendant Konkel to Make Restitution of $790,000 to Defrauded Investors and Pay a Civil Fine of Up to $440,000 and Bars Him From Registering with the CFTC , 4518-01 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FIRMS FRAUDULENTLY SELLING ILLEGAL FOREIGN CURRENCY (FOREX) OPTIONS; In Two Separate Actions, CFTC Charges (1) the ICS Common Enterprise (three Florida companies) and Three Individuals - Valentin Fernandez, Daniel Phillips, and Manny Kavekos of Florida; and (2) Infinite Trading Group, L.L.C., a Georgia Forex Firm, along with Shawn Christie, Edward Cameron Lindsey and Anthony Garcia of Georgia , 4513-01 |
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CFTC SETTLES FRAUD ACTION AGAINST COMEX FLOOR BROKER TIMOTHY MURPHY , 4512-01 |
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CFTC CHARGES SUNSTATE FX, INC. AND ULRICH GARBE OF BOCA RATON, FLORIDA, WITH FRAUD IN CONNECTION WITH THE SOLICITATION OF INVESTORS TO TRADE FOREIGN CURRENCY (FOREX) CONTRACTS; Complaint Alleges that SunState and Garbe Fraudulently Operated a Commodity Pool and Illegally Offered Foreign Currency Options to the Retail Public; Court Enters <em>Ex Parte</em> Restraining Order Against the Defendants on the Same Day the Complaint is Filed , 4508-01 |
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CFTC CHARGES JEFFREY T. BAILEY OF AMELIA, OHIO, AND JMK CAPITAL MANAGEMENT, INC. WITH COMMODITY POOL FRAUD , 4507-01 |
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UTAH FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST MARK AND STEVE SCHENK FOR THEIR PARTICIPATION IN A FRAUDULENT COMMODITY POOL SCHEME; The Consent Order Requires Mark and Steve Schenk to Pay Restitution and Disgorgement and Permanently Bars Them From Trading Commodity Futures and Options For Others and From Seeking Registration with the CFTC , 4506-01 |
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FLORIDA DISTRICT COURT ISSUES FINAL ORDER OF JUDGMENT AGAINST NATIONAL BULLION AND COIN, INC., CAPITAL CREDIT MANAGEMENT & FINANCE, INC., JOSEPH B. FLANIGAN, AND LAWRENCE COLMAN; Order Requires Defendants to Pay in Excess of $12 Million in Restitution and Civil Monetary Penalties in Case Involving the Fraudulent Marketing of Illegal Precious Metals Futures Contracts , 4504-01 |
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CFTC SETTLES ENFORCEMENT ACTION AGAINST ISAAC FLEYSHMAKHER FOR COMMODITY POOL FRAUD; CFTC Order Finds that Fleyshmakher Made Fraudulent Solicitations and Engaged in Unauthorized Trading and Misappropriation of Funds in Connection with His Operation of New Frontier and New Millennium Commodity Pools; Order Requires Him to Pay Restitution to Defrauded Investors, Among Other Sanctions , 4503-01 |
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CFTC CHARGES JAMES SPENCER BROWN OF FORT WORTH, TEXAS WITH FRAUD AND VIOLATION OF A CFTC ORDER; Complaint Alleges that Brown Fraudulently Solicited Customers While Acting as an Unregistered Commodity Trading Advisor and Violated Registration and Disclosure Requirements , 4502-01 |
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U.S. DISTRICT COURT IN CALIFORNIA ISSUES ORDER ENJOINING RABB SABIN AND ART SMITH FROM FRAUDULENTLY SOLICITING CUSTOMERS TO SUBSCRIBE TO WEBSITE THAT TOUTED THEIR PURPORTEDLY PROFITABLE COMMODITY OPTIONS TRADING METHODOLOGY; Defendants Are Ordered To Pay Restitution of Over $384,700 and Civil Monetary Penalties Totaling $100,000 , 4499-01 |
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FEDERAL COURT IN HAWAII PERMANENTLY ENJOINS DAVID T. MARANTETTE, III FROM COMMITTING COMMODITY FRAUD WHEN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; The Consent Order Imposes a Permanent Injunction and Trading Ban and Requires Marantette and his Company, Troubadour, Inc., to Make Restitution to Investors of Up to Approximately $2.25 Million , 4492-01 |
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CFTC ACCEPTS SETTLEMENT OFFER OF FORMER BRANCH MANAGER DARRYL M. OSLER IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS TO INVEST IN COMMODITY OPTIONS; Osler Agrees Never to Seek Registration or Exemption from Registration with the CFTC or Otherwise Engage in Activities Requiring Registration or Exemption from Registration , 4491-01 |
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CFTC ISSUES TWO ADVISORIES ADDRESSING THE OFFERING OF FOREIGN CURRENCY (FOREX) TRADING OPPORTUNITIES TO THE RETAIL PUBLIC; CFTC Outlines New Forex Regulatory Scheme and Also Alerts the Public To Foreign Currency Scams , 4489-01 |
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FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST ANTHONY HOLT FOR HIS INVOLVEMENT IN A FRAUDULENT COMMODITY POOL SCHEME; Holt is Permanently Barred from the Futures Industry and Agrees to Pay Civil Penalty , 4488-01 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR BROKERS, CHARGING THEM WITH FRAUDULENTLY EXECUTING GOLD OPTIONS TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and Philip Selby and Files An Administrative Complaint Against Timothy Murphy and Vincent Coppola , 4487-01 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST FORMER GRIFFIN TRADING COMPANY CHIEF FINANCIAL OFFICER, SCOTT N. SZACH; CFTC Finds that Szach Failed to Supervise Griffin's London Branch Office, Filed False Reports, and Committed Segregation and Recordkeeping Violations in Connection with His Unauthorized Trading , 4486-01 |
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<p>CFTC CHARGES JOHN F. O'HERRON OF ONEKAMA, MICHIGAN, AND O'HERRON ASSET MANAGEMENT, INC. WITH $2.7 MILLION COMMODITY POOL FRAUD; Court Issues Restraining Order Freezing Assets, Barring the Destruction of Books and Records, and Prohibiting Further Violations of Federal Commodity Law, , 4482-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST ISAAC FLEYSHMAKHER, OF CHICAGO, ALLEGING COMMODITY POOL FRAUD; CFTC Complaint Alleges That Fleyshmakher Made Fraudulent Solicitations and Engaged in Unauthorized Trading and Misappropriation of Funds in Connection with His Operation of New Frontier and New Millennium Commodity Pools , 4477-00 |
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CFTC CHARGES MARTIN BROWN AND GEOFFREY S. THOMPSON WITH A FRAUDULENT TRADE ALLOCATION SCHEME AND OBTAINS RESTRAINING ORDER FREEZING ASSETS AND RECORDS; Complaint Also Charges Brown and Thompson With Unauthorized Trading , 4476-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST DONALD M. FISHBACK, JR. AND THE DONALD M. FISHBACK COMPANY ALLEGING FRAUDULENT SOLICITATION OF MEMBERS OF THE PUBLIC TO PURCHASE COMMODITY OPTIONS TRADING PRODUCTS AND SERVICES , 4474-00 |
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FLORIDA FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST GARY V. VALLETTA IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions and a Two-Year Registration Ban , 4472-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST FREDERIC J. MERSCH, CHARGING HIM WITH VIOLATING EXCHANGE TRADING LIMITS , 4471-00 |
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CFTC PARTICIPATES IN JOINT LAW ENFORCEMENT INITIATIVE AIMED AT CLEANING UP THE INTERNET , 4466-00 |
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CFTC FILES ENFORCEMENT ACTION AGAINST U.S. SECURITIES & FUTURES CORP. (USSFC), JUSTUS ENTERPRISES, INC., THOMAS WHITE, NANCY BELLASSAI, JOHN HING, MICHAEL SKRABLE AND DANIEL REYNOLDS, CHARGING THAT THEY PARTICIPATED IN A FOREIGN BROKER’S MULTI-MILLION DOLLAR TRADE ALLOCATION FRAUD; CFTC Also Alleges, Among Other Things, That USSFC, Hing, White, Bellasai, Huaya Lu Tung, Thomas Gong, Jiping Wu, and Bellasai Failed to Supervise Diligently USSFC and Its Employees , 4465-00 |
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CFTC CHARGES JAMES STEPHENS III, AND TRENDSYSTEMS, INC. WITH COMMODITY FUTURES AND OPTIONS FRAUD AND OBTAINS STATUTORY RESTRAINING ORDER FREEZING DEFENDANTS’ ASSETS AND RECORDS , 4463-00 |
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UTAH FEDERAL COURT ENTERS PRELIMINARY INJUNCTION AGAINST STEPHEN W. BROCKBANK, CAROL J. LOVE, AND BIRMA, LTD., IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF A COMMODITY POOL , 4459-00 |
