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CFTC Extends Comment Period for Proposal Concerning New Regulatory Framework, , 4432-00 |
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Commodity Futures Trading Commission Adopts Revisions to Rule 4.7, , 4431-00 |
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Commodity Futures Trading Commission Issues Amendments to Regulation 1.59 Regarding Trading Prohibitions Imposed on Certain Persons Affiliated with Self-Regulatory Organizations, , 4430-00 |
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CFTC Adopts Amendments to Part 30 of Its Rules Expanding Significantly the Ability of U.S. Persons to Place Foreign Futures and Foreign Options Orders, , 4429-00 |
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TEXAS FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST KENT C. CALHOUN, INDIVIDUALLY, AND AS AN AGENT OF OR DOING BUSINESS AS KCI SEMINARS, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT ADVERTISING AND PROHIBITED REFERENCES TO CFTC IN ADVERTISEMENTS, Calhoun Is Barred From Referencing the CFTC or Otherwise Using the CFTC’s Name in Soliciting Customers And Is Ordered to Publish Retractions of Fraudulent Advertisements , 4428-00 |
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Commission Approves New York Mercantile Exchange Demutualization Proposal, , 4427-00 |
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Commission Raises Maximum Amount of Civil Monetary Penalties to Adjust for Inflation, , 4426-00 |
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U.S. DISTRICT COURT ENTERS CONSENT ORDERS AGAINST JOSEPH P. MCGIVNEY, SR. AND EDWIN A. KOZIOL, JR. REQUIRING THEM TO PAY MORE THAN $800,000 IN RESTITUTION AND PERMANENTLY BARRING THEM AND THEIR COMPANY FROM THE FUTURES INDUSTRY FOR FRAUDULENT COMMODITY POOL SCHEME , 4425-00 |
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COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST DAVID MICHAEL LOYD IN EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD., COMMODITY POOL FRAUD CASE; Order Requires Loyd to Make Full Restitution of Up to $2.5 Million to Investors , 4424-00 |
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CFTC Agricultural Advisory Committee to Meet Today, , 4423-00 |
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CFTC FILES AND SETTLES ACTION AGAINST WILLIAM G. BILLINGS AND BILLFUND, INC. OF OKLAHOMA IN CONNECTION WITH THE FRAUDULENT OPERATION OF THREE COMMODITY POOLS; CFTC Order Finds that the Respondents Defrauded at Least 40 Pool Participants Out of Approximately $1.6 Million , 4422-00 |
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CFTC Designates Merchants' Exchange of St. Louis as a Contract Market, , 4421-00 |
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CFTC CHARGES PHILLIP FERGUSON d/b/a FERGUSON FINANCIAL, B& F TRADING, AND FIRST INVESTOR’S GROUP WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS A COMMODITY POOL OPERATOR , 4420-00 |
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CFTC Releases Rule Enforcement Review of Chicago Board of Trade, , 4419-00 |
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CFTC CHARGES ROBERT L. DORMAGEN AND DELTA FINANCIAL CORP. WITH FRAUD IN CONNECTION WITH THE CAPITAL GROUP III, L.P. COMMODITY POOL AND OTHER INDIVIDUAL CUSTOMERS , 4418-00 |
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COURT PRELIMINARILY ENJOINS DEFENDANTS FROM CONTINUING TO OPERATE IN A CASE ALLEGING AN $18 MILLION FRAUDULENT PRECIOUS METALS SCHEME; Court Found that Defendants -- Including IBS Inc. and IMC Trading Inc. -- Fraudulently Solicited Customers From Offices In Four States , 4417-00 |
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CFTC Issues Statements of Policy Permitting Certain Foreign Boards of Trade to List New Futures and Option Contracts through U.S.-Located Trading Systems , 4414-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST IRA M. LAVENDER IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CLIENTS , 4413-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST SEUNGHO KIM, JOHN KI PARK, AND HOUSTON SYSTEM TRADING, LLC IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS AND POOL PARTICIPANTS , 4412-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST DALE LUTHER MOCK, CHARGING HIM WITH UNAUTHORIZED TRADING AND FRAUD , 4411-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST TIMOTHY BENGSON, CHARGING HIM WITH FRAUDULENTLY ALLOCATING CUSTOMER TRADES , 4410-00 |
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CFTC Staff Allows SGX-DT’s Futures Contract Based on the Morgan Stanley Capital International Singapore Free Stock Index to be Offered or Sold in the U.S. , 4409-00 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST GLENN B. LAKEN, OF CHICAGO, ILLINOIS, AND WILLIAM M. STEPHENS, OF SAN FRANCISCO, CALIFORNIA; Respondents May Have Their CFTC Registrations Suspended Or Modified Due To Pending Federal Felony Charges Against Them , 4408-00 |
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CFTC Approves Demutualization Proposal , 4407-00 |
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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST JOHN LARRY SCHENK, SAM GRAY AND FIDELITY TRADERS GROUP IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF FOUR COMMODITY POOLS; Court Permanently Bars John Larry Schenk and Sam Gray From the Commodity Industry and Orders Restitution to Defrauded Investors , 4406-00 |
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CFTC Releases Proposal on New Regulatory Framework , 4405-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST HOWARD E. THOMPSON FOR EXCEEDING EXCHANGE TRADING LIMITS AND FILING A FALSE REPORT; CFTC Orders Thompson To Pay $50,000 Civil Monetary Penalty and Imposes A Sixty Day Trading Suspension , 4404-00 |
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CFTC FILES AND SETTLES ADMINISTRATIVE ENFORCEMENT ACTION AGAINST STANLEY C. HARLEY FOR FAILING TO REGISTER AS A COMMODITY TRADING ADVISOR AND TO DELIVER REQUIRED DISCLOSURE DOCUMENTS , 4403-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the OMXCAP Index traded on OM London Exchange Ltd and OM Stockholm Exchange AB , 4402-00 |
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CFTC FILES ACTION AGAINST MICHAEL JAMES KONKEL CHARGING HIM WITH FRAUD IN THE OPERATION OF A COMMODITY POOL; Court Issues Ex Parte Order Freezing Assets & Prohibiting Destruction of Books and Records , 4401-00 |
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CFTC, SEC, and Monetary Authority of Singapore (MAS) Sign Memorandum of Understranding (MOU) , 4400-00 |
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CFTC Participates in International "<i>Internet Surf"</i> Day to Uncover Fraudulent Promotion of Commodity Schemes, , 4399-00 |
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<p align="left">CFTC Particpates in International "<i>Internet Surf Day"</i> To Uncover Fraudulent Promotion of Commodity Schemes, , 4399-00 |
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U.S. DISTRICT COURT ORDERS FORMER ALPHARETTA, GEORGIA, MAN TO PAY $3.3 MILLION RESTITUTION AND PERMANENTLY BARS HIM AND HIS COMPANY FROM THE FUTURES INDUSTRY FOR FRAUDULENT COMMODITY POOL SCHEME; The CFTC Alleged that Donald E. James Pooled More than $5 Million from at Least 25 Investors throughout Georgia and Florida and Fraudulently Misappropriated Some of the Investors' Funds; In March 2000, James Was Sentenced to 51 Months in a Federal Prison , 4398-00 |
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CFTC FILES TEN ACTIONS ALLEGING FRAUDULENT INTERNET PROMOTION OF COMMODITY TRADING SYSTEMS AND ISSUES CONSUMER ADVISORY; CFTC Issues Ten Orders Against Fraudulent Internet Promoters; CFTC also Warns the Public to Be Wary of Websites which Claim that Purchasers of Trading Systems and Advisory Services Will Make Substantial Profits and Be Exposed to Minimal Risk of Loss , 4397-00 |
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CFTC's Technology Advisory Committee to Meet on April 25, 2000 , 4396-00 |
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CFTC Revises Guidance on How NFA Should Use Exchange Disciplinary Actions as "Other Good Cause" to Affect Floor Broker/Floor Trader Registration, , 4395-00 |
