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CFTC LAUNCHES MULTIPLE FEDERAL ACTIONS AGAINST A TOTAL OF 15 ENERGY TRADERS, CHARGING THEM WITH FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Names Former Traders of Enserco Energy, Inc., Mirant Americas Energy Marketing, Cinergy Corp., Duke Energy Trading and Marketing, CMS Field Services Inc., and Coral Energy Resources, LLP , 5045-05 |
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CFTC Proposes Permissible Investment Changes , 5044-05 |
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CFTC's Division of Clearing and Intermediary Oversight Provides Annual Report Guidance to Commodity Pool Operators , 5043-05 |
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CFTC SEEKS TO REVOKE REGISTRATIONS OF ILLINOIS RESIDENT LESLIE JEAN WNUKOWSKI; , 5042-05 |
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CFTC SETTLES LAWSUIT WITH AMERICAN ELECTRIC POWER COMPANY AND AEP ENERGY SERVICES, INC. FOR FALSE REPORTING AND ATTEMPTED MANIPULATION IN NATURAL GAS MARKETS; Federal Government Collects $81 Million: Defendants Ordered to Pay $30 Million Civil Monetary Penalty to CFTC; AEP Energy Services, Inc. to Pay an Additional $30 Million to U.S.Department of Justice to Avoid Federal Criminal Prosecution, and $21 Million to the Federal Energy Regulatory Commission , 5041-05 |
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CFTC FINDS THAT PRINCETON, NEW JERSEY, COMMODITY TRADING ADVISOR ROYAL BERG, INC. AND ITS PRINCIPAL, GARY BERG, VIOLATED DISCLOSURE OBLIGATIONS , 5040-05 |
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TEXAS FEDERAL COURT ORDERS DEFENDANTS RICHARD HALE AND ALLEGHENY GULF INVESTMENTS, INC. TO PAY $440,000 IN CIVIL PENALTIES FOR MISAPPROPRIATING CUSTOMER FUNDS; Defendants Also Prohibited From Handling Commodity Interest Accounts , 5039-05 |
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U.S. DISTRICT COURT ENJOINS SOUTH CAROLINA RESIDENT GEORGE HEFFERNAN FROM ENGAGING IN COMMODITIES FRAUD; FREEZES ASSETS; Order Arises From Complaint By CFTC Charging Heffernan, Also Known As "George W. Marshall," With Fraud for the Third Time in Four Years, , 5038-05 |
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FEDERAL COURT FREEZES ASSETS OF FLORIDA FIRM AND FIVE INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $6 MILLION; CFTC Alleges that United Investors Group, Inc., Former Director Andrew D. Ross, CEO Paul F. Plunkett, and Traders Greg P. Allotta, Jay M. Levy, and Michael H. Savitsky III, Made False Claims that Customers Would Make Large Profits with Little Risk , 5037-05 |
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CALIFORNIA FEDERAL JUDGE ORDERS ARREST OF JIAN ZHUANG, PRESIDENT OF LOS ANGELES-AREA FOREIGN CURRENCY FIRM EMERALD WORLDWIDE HOLDINGS, INC., IN LAWSUIT CHARGING A COMMODITIES SCAM; Zhuang Failed to Pay Money Sanctions Arising Out of Earlier Contempt Order in CFTC Case Charging Zhuang and Others With Defrauding More than 300 Customers of Over $5 Million , 5036-05 |
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CFTC's Global Markets Advisory Committee to Meet January 12 , 5035-05 |
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CFTC SETTLES CHARGES AGAINST FLORIDA TRADING FIRM AND TWO INDIVIDUALS RELATING TO ILLEGAL WASH TRADES; Hencorp Becstone Futures LC, Jorge Mattos, and Oscar Schaps Ordered to Pay Civil Penalties , 5034-05 |
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CALIFORNIA RESIDENTS PAULINO RENE DIAS, JR. AND VICTOR SMITH, ALONG WITH KRUTE CORPORATION, AGREE TO PAY $2.19 MILLION TO SETTLE COMMODITY POOL FRAUD ACTION; CFTC Imposes $240,000 in Civil Penalties Orders Customer Restitution of $1.95 Million , 5033-04 |
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FLORIDA FEDERAL COURT ORDER ENJOINS TWO FLORIDA BUSINESSES AND FOUR EMPLOYEES FROM VIOLATING FEDERAL COMMODITIES LAW; CFTC Charged Defendants Liberty Financial Trading Corp.; Liberty Real Assets Investment Corp.; Ted Romeo; Leslie Weiner; Nader Yazdani; and Randy Bursteinwith with Fraudulently Soliciting Customers to Trade Options on Futures Contracts , 5032-04 |
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CFTC Amends Large-Trader Reporting Rules , 5031-04 |
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CFTC CHARGES A NEBRASKA BANK, ITS BANK HOLDING COMPANY, AND AN INTRODUCING BROKER WITH FRAUD AND UNAUTHORIZED TRADING; CFTC Names Sherman County Management, Inc., Sherman County Bank, and PT Holdings as Additional Defendants in an Ongoing Case Alleging Commodity Fraud and Unauthorized Trading , 5030-04 |
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U.S. District Court Orders United Kingdom Corporation (E Net Speculation Ltd.) And Its Two Principals To Pay $50,000 In Civil Penalties For International Solicitation Of Off-Exchange Commodity Futures Through The World Wide Web , 5029-04 |
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Michael V. Dunn Sworn in as CFTC Commissioner , 5028-04 |
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Fred Hatfield Sworn in as CFTC Commissioner , 5027-04 |
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Acting Chairman Sharon Brown-Hruska Sworn In To A Second Term As CFTC Commissioner , 5026-04 |
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MIRANT AMERICAS ENERGY MARKETING, L.P. SETTLES FEDERAL CHARGES OF FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Imposes Civil Penalty of $12.5 Million and Orders Energy Firm to Cease and Desist from Further Violations; Respondent Found to Have Knowingly Made False Reports to <i>Gas Daily</i>, <i>Inside FERC</i> and <i>Natural Gas Intelligence</i> , 5025-04 |
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FEDERAL COURT ORDERS NORTH CAROLINA RESIDENT JAMES DARREN MOORE AND HIS COMPANY TO PAY OVER $1 MILLION IN RESTITUTION AND PENALTIES FOR DEFRAUDING CUSTOMERS IN A COMMODITY SCHEME , 5024-04 |
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U.S. COMMODITY FUTURES TRADING COMMISSION CHARGES GREENSBORO, NORTH CAROLINA RESIDENT ROGER OWEN & HIS COMPANIES CHARGED WITH DEFRAUDING CUSTOMERS IN SALES OF A COMMODITY TRADING SYSTEM , 5023-04 |
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CFTC Finds New Yorkers Eugene Todd and the Bentley Rothchild Group, Inc. Liable for Selling Illegal Foreign Currency Contracts , 5022-04 |
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NEW YORK HEDGE FUND CHARGED WITH MISAPPROPRIATING MORE THAN $1.1 MILLION IN COMMODITY SCAM; CFTC Sues Remco Capital Management, Inc., Nutone Asset Management, Ltd., and Andrei Maruha, Alleging They Defrauded at Least 31 Investors , 5021-04 |
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CINERGY MARKETING & TRADING, LP FOUND TO HAVE REPORTED FALSE ENERGY PRICES; Agrees to Pay a $3 Million Civil Monetary Penalty to Settle CFTC Charges , 5020-04 |
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CFTC Designates Chicago Climate Futures Exchange as a Contract Market , 5019-04 |
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CFTC and BP Energy Company Settle Case Involving Employee's Illegal Wash Trades for $100,000 , 5018-04 |
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HAWAIIAN RESIDENT BARRY SCHOTZ CHARGED WITH DEFRAUDING CALIFORNIA PARTICIPANTS IN $3 MILLION COMMODITY POOL SCHEME; Schotz, Previously Convicted of Fraud, Allegedly Bilked Los Angeles Investors in the Bear Invest Fund , 5017-04 |
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CFTC CHARGES SAN DIEGO FOREIGN CURRENCY FIRM WHITE PINE TRUST CORPORATION AND ITS FOUNDER, RICHARD MATTHEWS, WITH FRAUD AND MISAPPROPRIATION OF CUSTOMER FUNDS; Over $30 Million in Suspect Funds Uncovered in Federal Probe , 5016-04 |
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CFTC Settles Fraud Charges Against John Hucko of Chicago, Illinois , 5015-04 |
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CFTC Permits U. S. Clearinghouse to Clear European Futures Contracts , 5014-04 |
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U.S. Commodity Futures Trading Commission and the Committee of European Securities Regulators Announce Trans-Atlantic Cooperation Initiative and Statement of Intent to Develop an Action Plan on Cross Border Issues , 5013-04 |
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FEDERAL COURT ORDERS ALABAMA RESIDENT RANDALL NELSON TO PAY OVER $800,000 TO SETTLE COMMODITY POOL FRAUD CHARGES; In Joint Federal/State Action, Court Orders Nelson to Repay a Total of $680,000 to Investors and to Pay Civil Penalties Totaling $125,000 , 5012-04 |
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LOS ANGELES FEDERAL COURT ISSUES PRELIMINARY ORDER ENJOINING CHASE COMMODITIES CORPORATION AND TWO EMPLOYEES FROM VIOLATING THE COMMODITY EXCHANGE ACT , 5011-04 |
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CFTC SETTLES FOREIGN CURRENCY (FOREX) FUTURES FRAUD ACTION; Kissimmee, Florida Resident Stanley Craig Wakefield Agrees to Repay Customers and Pay a Civil Monetary Penalty , 5010-04 |
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U.S. Commodity Futures Trading Commission's International Affairs Office Presents International Symposium and Training Program on Derivative Products, Markets, and Financial Intermediaries , 5009-04 |
