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COURT ORDERS AYM FINANCIAL CORPORATION AND ITS TWO PRINCIPALS, THOMAS M. PALEY AND ADAM S. JUECHTER, TO PAY RESTITUTION AND DISGORGEMENT TO SETTLE SUIT CHARGING FRAUDULENT SALE OF FOREIGN CURRENCY FUTURES CONTRACTS; Permanent Injunction Also Ordered Against Third Defendant, Marc Kronish , 4328-99 |
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CFTC FILES COMPLAINT IN HAWAII FEDERAL COURT AGAINST DAVID T. MARANTETTE, III AND TROUBADOUR, INC., CHARGING FRAUD IN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; Federal Court Enters a Consent Order of Preliminary Injunction Prohibiting Marantette and Troubadour from Engaging In Fraudulent Activities, Barring the Destruction of Documents, and Freezing the Defendants' Assets , 4327-99 |
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CFTC ACCEPTS SETTLEMENT OFFER OF SOUTHERN THUMB CO-OP, INC. ARISING FROM THE MARKETING OF ILLEGAL OFF-EXCHANGE AGRICULTURAL OPTIONS; CFTC Order Accepting Settlement Offer Finds Fraud In The Solicitation of Customers To Enter Into Off-Exchange Agricultural Options , 4323-99 |
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<p align="left">CFTC FILES COMPLAINT IN ILLINOIS FEDERAL COURT AGAINST CA-NI INDUSTRIES, LTD. AND NICHOLAS J. NICKOLAOU, CHARGING FRAUD IN SOLICITING CUSTOMERS FOR A COMMODITY TRADING PROGRAM AND MANAGED ACCOUNTS; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties, , 4320-99 |
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CFTC FILES ENFORCEMENT ACTION CHARGING THAT FLOOR BROKER CONSTANTINE MITSOPOULOS COMMITTED FRAUD WHILE HANDLING CUSTOMER ORDERS; The CFTC’s Action Further Alleges That Mitsopoulos, Margaret Dull, Lisa Budicak, and Richard Marisie Violated Order-Taking and Recordkeeping Requirements In Preparing Customer Orders And That Mitsopoulos Failed to Supervise Diligently Phone Clerks Who Worked For Him , 4317-99 |
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CFTC FILES CIVIL INJUNCTIVE ENFORCEMENT AGAINST DENVER-BASED CLAIRMONT CAPITAL CORP., AND ITS PRINCIPALS, GEOFFREY L. MANN AND CHARLES W. TRENCH, CHARGING THEM WITH FRAUD AND SELLING ILLEGAL FOREIGN CURRENCY OPTIONS; CFTC Action Charges That The Defendants Made False Representations Regarding Potential Profits and Risks; , 4314-99 |
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CFTC OBTAINS ASSET FREEZE AND APPOINTMENT OF A RECEIVER IN CIVIL INJUNCTIVE ACTION FILED AGAINST PRINCETON GLOBAL MANAGEMENT LTD., PRINCETON ECONOMICS INTERNATIONAL LTD., AND MARTIN A. ARMSTRONG; CFTC Complaint Alleges Fraud and Failure to Register Against Commodity Pool Operators and Commodity Trading Advisors , 4312-99 |
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Tennessee Court Enters Consent Order of Permanent Injunction Against Richard G. Belz, Andrew E. Cafferky and Related Companies of Knoxville, Tennessee, in CFTC Enforcement Action Charging Commodity Pool Fraud; Order Requires Defendants to Disgorge $596,000, Plus Post-Judgment Interest, to Defrauded Investors Release , 4311-99 |
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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTIONS AGAINST DOUGLAS FOSTER AND ROBERT MONCUR IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF THREE COMMODITY POOLS; Court Permanently Bars Foster and Moncur From Seeking Registration Or Acting In Any Capacity Requiring Registration With the CFTC and Prohibits Them From Trading For Ten Years , 4310-99 |
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VIRGINIA COURT ENTERS DOCUMENT AND ASSET FREEZE IN CFTC INJUNCTIVE ACTION AGAINST PETER BERZINS CHARGING COMMODITY POOL FRAUD; CFTC Alleges Berzins Defrauded Investors By Making Misrepresentations While Soliciting Funds And Operating a Commodity Pool , 4308-99 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARGILL INC., CHARGING THAT CARGILL OFFERED TO ENTER AND ENTERED INTO ILLEGAL AGRICULTURAL OPTION CONTRACTS; CFTC Alleges that Cargill’s Premium Offer Contract Violates the Commodity Exchange Act and CFTC Regulations , 4307-99 |
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CFTC ACCEPTS SETTLEMENT OFFER FROM MICHAEL SINGER IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Singer’s Registration, Prohibits Him From Trading For Five Years, and Imposes a $75,000 Civil Monetary Penalty, Among Other Sanctions , 4305-99 |
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CFTC FILES ENFORCEMENT ACTION ALLEGING COMMODITY FUTURES AND OPTIONS FRAUD AGAINST MAX E. WALTERS; Walters Allegedly Defrauded Limited Partnership And Limited Partner Out Of $1 Million By Making Misrepresentations Concerning Profits And Misappropriating Funds , 4301-99 |
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CFTC FILES AN ENFORCEMENT ACTION AGAINST AND ACCEPTS OFFER OF SETTLEMENT FROM WOLCOTT & LINCOLN L.L.C. AND DAVID GIBSON; CFTC Finds That Wolcott & Lincoln, An FCM, Improperly Handled Customer Money, Violated Recordkeeping Requirements, Filed False Reports and Failed To Supervise Diligently; Gibson, As Manager of Wolcott & Lincoln, Is Also Found Liable , 4300-99 |
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MICHIGAN FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST THOMAS LAMAR, OF WATERFORD, MICHIGAN, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF A COMMODITY POOL; Court Orders Lamar to Pay Over $2.8 Million In Restitution and Disgorgement to Defrauded Customers and Permanently Bars Him from the Commodity Industry , 4299-99 |
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New York Court Bars Oscar A. Klitin and Klitin Associates II, L.P. from the Futures Industry and Orders Klitin to Disgorge Misappropriated Investors' Funds In CFTC Enforcement Action; Injunction Stems from a 1997 CFTC Action Charging Fraud , 4298-99 |
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CFTC FILES COMPLAINT IN MINNESOTA FEDERAL COURT AGAINST COMMODITY TRADING ADVISOR, PELTON STREET PUBLISHING, INC., AND ITS PRINCIPAL, ROGER MARTIN HOY, CHARGING FRAUD IN SOLICITING CUSTOMERS FOR COMMODITY TRADING COURSE; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties , 4297-99 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF KEVIN JACKAM, MICHAEL THOMAS AND NEW MILLENIUM PROMOTIONS IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Finds That Jackam Committed Fraud In Soliciting Customers To Trade Options On Commodity Futures Contracts And Failed To Supervise, and That Thomas And New Millenium Failed To Supervise And Acted In An Unregistered Capacity While Operating An Introducing Broker , 4295-99 |
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CFTC FINDS THAT JAMES L. CONNELLY, A FLOOR BROKER AT THE CHICAGO MERCANTILE EXCHANGE, IS SUBJECT TO STATUTORY DISQUALIFICATION AND ISSUES CONSENT ORDER RESTRICTING CONNELLY'S REGISTRATION , 4294-99 |
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FLORIDA FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST MICHAEL INDIHAR, COMPUTER WAREHOUSE, INC. AND AUTOMATED TRADING SYSTEMS INC., IN CFTC ANTI-FRAUD ACTION FILED IN 1996; CFTC Alleged that the Defendants Cheated and Defrauded Florida Investors in a Commodity Pool, and Converted Customer Funds to Personal Use, Among Other Violations of Federal Commodity Law , 4288-99 |
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CFTC FILES AND SETTLES SIX-COUNT INJUNCTIVE ACTION AGAINST MORRIS J. BENUN, CHARGING THAT HE COMMITTED FRAUD AND CONVERTED FUNDS WHILE OPERATING TWO COMMODITY POOLS; Benun Ordered To Pay Over $1 Million In Restitution To Pool Participants and Is Permanently Barred From the Commodities Industry By Consent Permanent Injunction , 4286-99 |
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CFTC FILES CIVIL FRAUD COMPLAINT IN FLORIDA FEDERAL COURT AGAINST INTRODUCING BROKER R.J. FITZGERALD & CO., INC., RAYMOND AND LEIZA FITZGERALD, AL CORINGRATO, GREG BURNETT, AND CHUCK KOWALSKI; CFTC Action Charges that the Defendants Made False Representations and Engaged in Fraudulent Acts and Practices, Including Sales Solicitation Fraud and Account Churning , 4285-99 |
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Merrill Lynch International, Inc. and Merrill Lynch Pierce Fenner & Smith (Brokers & Dealers), Ltd. Pay $15 Million to Settle Charges of Aiding and Abetting Manipulation of the Copper Market, , 4284-99 |
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CFTC Files Complaint Against Kent C. Calhoun of Hunt, Texas, Alleging That He Committed Fraud in Using the CFTC's Name to Solicit Customers to Purchase His Commodity Trading Systems and Attend his Commodity Trading Seminars; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties , 4283-99 |
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CFTC Accepts Settlement Offer of Selwyn "Sy" Gaiber; CFTC Settlement Order Finds that Gaiber Acted as an Unregistered CTA and Failed to Deliver Disclosure Documents and to Disclose His Past Performance Record, , 4282-99 |
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CFTC Institutes Administrative Proceedings Against and Accepts Offer of Settlement from Ross R. Godres of Lafayette, Colorado; CFTC Finds that Godres Defrauded Investors By Concealing Losses Resulting From the Trading of Precious Metal Futures Contracts on Behalf of a Commodity Pool, and Orders Restitution to Defrauded Investors, Among Other Sanctions , 4281-99 |
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North Carolina Court Issues Preliminary Injunction in CFTC Action Charging Donald Trivette With Defrauding Investors and Misappropriating Investor Funds , 4280-99 |
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georgia Court Orders Payment of Over $11.5 Million and Permanent Injunction In Default Order Against Estate of Donald B. Chancey, Southeastern Venture Partners Group, in Commodity Pool Fraud Case , 4278-99 |
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New York Court Orders Defendants (New York Currency Exchange Corp., New York Currency Research Corp., and Michael T. Matejka) to Pay Over $8.1 Million in Civil Monetary Penalties and Orders Restitution of More Than $2.7 Million to Customers in CFTC Illegal Foreign Currency Futures Fraud Action; CFTC's 1998 Anti-Fraud Enforcement Action Alleged that the Defendants Cheated and Defrauded Customers Out of Over $3.5 Million , 4271-99 |
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CFTC Files and Settles Action Against REFCO, Inc. for Order-Taking and Recordkeeping Violations and for Failing to Supervise; Company Ordered to Pay $7 Million, Including $1 Million To Fund An Industry Study, And to Cease And Desist From Further Violations, and to Conduct an Internal Review Concerning Refco's Compliance Policies and Procedures , 4269-99 |
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CFTC Obtains Preliminary Injunctions Against All Defendants, EuroPacific Equity & Capital Management, Ltd., Tortola Corporation Company, Ltd., International Investment Group, Ltd., David Michael Loyd, and Richard Tichy, in CFTC Enforcement Action Alleging Fraud , 4264-99 |
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North Carolina Court Issues Asset Freeze and Temporary Restraining Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette with Defrauding Customers by Misrepresentations and Misappropriation of Investor Funds , 4262-99 |
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CFTC Finds That Earl A. Pedersen, a Floor Broker at the Coffee Sugar Cocoa Exchange, is Subject to Statutory Disqualification and Issues Consent Order Restricting Pedersen's Registration , 4260-99 |
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Tennessee District Court Enters Asset Freeze Order Against Edwin Jay Sheldon, Applied Capital Management, LLC., and Charles Edward Powell in CFTC Enforcement Action Alleging Commodity Pool Fraud , 4259-99 |
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CFTC Obtains Restraining Order in Civil Action Against Donald E. James and Donald James, Inc. of georgia Alleging Commodity Pool Fraud; Complaint Alleges That Defendants Operated a $5 Million Ponzi Scheme Over a Four-Year Period , 4257-99 |
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North Carolina Court Enters Documents Freeze Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette of North Carolina with Defrauding Investors by Misrepresentations and Misapproiation of Investor Funds , 4255-99 |
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CFTC Obtains restraining order against Joseph P. McGivney, Sr., Edwin A. Koziol, Jr. and six corporations in Illinois accused of Commodity Fraud , 4254-99 |
