03/31/2000
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST STEVEN C. BRENNER AND JAMI WEISNER BRENNER CHARGING BRENNER WITH VIOLATIONS OF A CFTC TRADING PROHIBITION AND OF A COMMISSION ORDER AND WEISNER WITH AIDING AND ABETTING THOSE VIOLATIONS
03/31/2000
CFTC FILES DISQUALIFICATION ACTION AGAINST DAVID ITZKOWITZ, FLOOR BROKER AT THE COFFEE SUGAR & COCOA EXCHANGE
03/27/2000
ILLINOIS FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST FTI FINANCIAL GROUP AND THREE OF ITS PARTNERS IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; Court Permanently Bars FTI And Samuel Foreman, Mark Stevens, and Carolyn Munn From Trading, Seeking Registration or Acting in Any Capacity Requiring Registration with the CFTC and Requires Them to Pay in Excess of $700,000 in Restitution
03/23/2000
CFTC PARTICIPATES IN "INTERNET SURF" TO UNCOVER FRAUDULENT PROMOTION OF COMMODITY INVESTMENT SCHEMES,
03/21/2000
NEW JERSEY COURT ENTERS PERMANENT INJUNCTION AND RESTITUTION ORDER IN CFTC INJUNCTIVE ACTION AGAINST MURRAY IRA ROSENBERG AND PRO BROKER SERVICES, INC., CHARGING COMMODITY FUTURES AND OPTION FRAUD; Court Permanently Bars Rosenberg From Trading For Others, and Requires Him to Pay $265,000 in Restitution
03/20/2000
CFTC CHARGES IMC COMMON ENTERPRISE AND THREE INDIVIDUALS IN $18 MILLION FRAUDULENT PRECIOUS METALS SCHEME; Court Freezes Defendants' Assets and Appoints Receiver to Take Control of Business; CFTC Charges Defendants with Fraudulently Telemarketing Customers And Offering Illegal Futures Contracts
03/09/2000
CFTC SETTLES ACTION AGAINST FARMERS COOPERATIVE COMPANY, FINDING THAT IT OFFERED TO ENTER INTO, AND ENTERED INTO, ILLEGAL FUTURES AND OPTION CONTRACTS AND OPERATED AS AN UNREGISTERED FUTURES COMMISSION MERCHANT; CFTC Order Also Accepts Offers of Settlement from Three Former Employees and Finds that Richard Houge and Larry D. Peterson aided and abetted each of Farmer Co-op’s Violations and that John A. McPherson aided and abetted Farmer Co-op’s operation as an unregistered Futures Commission Merchant
03/07/2000
CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST JAMES DEN HARTOG OF WORTHINGTON, MINNESOTA, AND JAMES BAUMGARD, OF SPIRIT LAKE, IOWA, IN UNAUTHORIZED TRADING CASE; CFTC Finds that James Den Hartog Defrauded His Employer by Engaging in Unauthorized Trading and that James Baumgard, an Account Executive, is Also Liable in Connection with Den Hartog’s Trading
02/28/2000
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CURRENCY TRADING SYSTEMS, JOYCE ROEDER, GLENN CYBULSKI, AND MICHAEL STEWART CHARGING FRAUD IN SOLICITING STUDENTS TO ATTEND SEMINARS TO LEARN AND PURCHASE A COMMODITY TRADING SYSTEM
02/22/2000
CFTC FILES A FRAUD ACTION AGAINST DAVID M. MOBLEY, SR., MARICOPA INTERNATIONAL INVESTMENT CORPORATION, ENSIGN TRADING CORPORATION, AND OTHERS AND A PROPOSED CONSENT ORDER OF PRELIMINARY INJUNCTION AND STATUTORY RESTRAINING ORDER; CFTC Complaint Alleges Defendants Carried Out A Multi-Million Dollar Fraud On Investors In Funds Managed By Mobley and Entities He Owned And Controlled; Defendants’ Alleged Fraudulent Scheme Included The Concealment of Losses Incurring From Trading of Commodity Futures And Options On Behalf Of A Commodity Pool
