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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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Farm Groups Meet to discuss Risk Management Measures for Farmers , 4505-01 |
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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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CFTC Releases Rule Enforcement Review of the Cantor Financial Futures Exchange , 4501-01 |
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CFTC Agricultural Advisory Committee to Meet on Wednesday, March 28, 2001 , 4500-01 |
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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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CFTC Issues Proposed Privacy Regulations Implementing Notice Requirements and Restrictions on Financial Institutions Subjects to Its Jurisdiction , 4498-01 |
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International Futures Regulators Meeting , 4497-01 |
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CFTC Announces Releases of 2001 Report on Exchange-Traded Derivatives in Developing Capital Markets , 4496-01 |
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CFTC Launches Redesigned Website , 4495-01 |
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CFTC Proposes Rule for Opting Out of Segregation For Trading Conducted on a Registered Derivatives Transaction Execution Facility , 4494-01 |
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CFTC Proposes Rules Implementing Commodity Futures Modernization Act of 2000 , 4493-01 |
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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 Appoints Commissioner Erickson Chairman of Technology Advisory Committee , 4490-01 |
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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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Commodity Futures Trading Commission (CFTC) Advisory on Foreign Currency , 06-01 |
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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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CFTC Names James E. Newsome Acting Chairman , 4485-01 |
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CFTC Issues Final Rules Regarding Extensions of Time to File Annual Reports for Commodity Pools That Are Invested in Other Collective Investment Vehicles , 4484-00 |
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CFTC Designates OnExchange Board of Trade as a Contract Market and OnExchange Clearing Corporation as a Registered Clearing Organization , 4483-00 |
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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 Issues Partial Withdrawal of New Regulatory Framework , 4481-00 |
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CFTC Chairman William J. Rainer Resigns , 4480-00 |
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Congress Passes Commodity Futures Modernization Act, CFTC Reauthorized for Five Years , 4479-00 |
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The CFTC and the Commodities' Exchanges Commission of the Ministry of the Russian Federation Anti-Monopoly Policy and Support of Entrepreneurship Sign Joint Statement , 4478-00 |
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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 Approves Rules Implementing New Regulatory Framework , 4475-00 |
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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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CFTC Approves the Sydney Futures Exchange's SPI 200 Futures Contract Based on the Standard & Poors/Australian Stock Exchange 200 Index for Offer or Sale in the U.S. , 4473-00 |
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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 |
