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CFTC Files and Settles Enforcement Action Against a Chicago Floor Broker for Failing to Supervise a Trader He Sponsored; CFTC Finds that Michael Thomas Lee Violated an Order and Sponsor Agreement and Suspends His Registration; Order Underscores Need For Sponsors To Take Duties Seriously , Release 4543-01 |
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Former Member of New York Futures Exchange Charged with Price Manipulation and False Representations; CFTC Charges Norman Eisler and First West Trading with Manipulating Settlement Prices of Option Contract and Making False Representations , 4542-01 |
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CFTC Requests Comments on Its Proposed Rule to Restrict Dual Trading in Security Futures Products , 4541-01 |
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CFTC Approves First New Derivatives Clearing Organization , 4540-01 |
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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 and SEC Extend Comment Period for Jointly Proposed Rules , 4534-01 |
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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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CFTC and Capital Market Board of Turkey Sign Memorandum of Understanding , 4532-01 |
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CFTC Requests Comments for Intermediaries Study , 4531-01 |
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CFTC Issues Order Concerning Treatment of Customer Funds Held in Connection with Products Traded on MEFF and Cleared by CME , 4530-01 |
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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 Designates Brokertec Futures Exchange as a Contract Market and Brokertec Clearing Corporation as a Registered Derivatives Clearing Organization , 4526-01 |
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CFTC Staff Allows MEFF Renta Variable's Futures Contracts Based on the S&P Euro Index and the S&P Europe 350 Index to be Offered and Sold in the United States , 4525-01 |
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CFTC Releases Rule Enforcement Review of the Minneapolis Grain Exchange , 4524-01 |
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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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CFTC Staff Allows LIFFE's Mini Futures Contract Based on the FTSE 100 Index to be Offered and Sold in the United States , 4521-01 |
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Commodity Futures Trading Commission Issues Notice of Proposed Rulemaking Regarding Notice-Designated Contract Markets in Security Futures Products , 4520-01, |
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CFTC Staff Allows the Tokyo Stock Exchange's Futures Contract Based on the S&P/TOPIX 150 Index to be Offered and Sold in the United States , 4519-01 |
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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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Proposed Rules to Provide for Notice Registration as a Futures Commission Merchant or Introducing Broker for Securities Broker-Dealers Trading Security Futures Products , 4517-01, |
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CFTC Staff Allows the Mercato Italiano dei Derivati Division's miniFIB Futures Contract Based on the MIB 30 Index to be Offered and Sold in the United States , 4516-01 |
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CFTC Proposes Rules for Derivatives Clearing Organizations , 4515-01 |
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CFTC and SEC Propose Joint Rules Relating to Security Futures Products , 4514-01 |
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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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Commodity Futures Trading Commission Issues Final Privacy Regulations Implementing Notice Requirements and Restrictions on the Ability of Financial Institutions Subject to Its Jurisdiction to Disclose Nonpublic Personal Information About Consumers to Nonaffiliated Third Parties , 4511-01, |
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CFTC Adopts Rules for Opting Out of Segregation, as to Trading Conducted on a Registered Derivatives Transaction Execution Facility , 4510-01 |
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Proposed Rules to Govern Requests for Exemptive Orders by Securities Broker-Dealers Trading Security Futures Products , 4509-01 |
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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 |
