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CFTC CHARGES CALIFORNIA MAN AND HIS COMPANY WITH DEFRAUDING CUSTOMERS; James J. Zhou and Jade Trader Allegedly Fraudulently Solicited Customers to Trade Commodity Futures Contracts , 5008-04 |
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CFTC Announces Participation in New Federal Government Financial Education Website , 5007-04 |
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CFTC CHARGES ILLINOIS-BASED COMMODITY TRADING ADVISOR AND ITS PRINCIPALS WITH MISREPRESENTING PROFITS AND RISKS; The Options Advisor L.L.C. and Principals Mark Melin and David Farrra Charged , 5006-04 |
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CFTC CHARGES FOREIGN FUND FOR DEFRAUDING THOUSANDS OF CUSTOMERS IN INTERNATIONAL PONZI SCHEME; Foreign Fund, Ron Mealing and John Shirck Allegedly Operated Commodity Futures Fraud Involving Foreign Currency Trading , 5005-04 |
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CFTC Revises Financial Reporting by FCMs to Reflect Risk-Based Capital , 5004-04 |
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LOS ANGELES-AREA FOREIGN CURRENCY FIRM EMERALD WORLDWIDE HOLDINGS, INC., AND ITS PRESIDENT, JIAN ZHUANG, SANCTIONED BY COURT FOR FAILING TO COMPLY WITH CONTEMPT ORDER IN FEDERAL LAWSUIT CONCERNING INTERNATIONAL CURRENCY SCAM THAT ALLEGEDLY DEFRAUDED 300 CUSTOMERS OF OVER $5 MILLION; Court Orders Coercive Sanctions, Including Fines, And Warns Of Possible Arrest of Zhuang For Failure To Pay , 5003-04 |
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CFTC SETTLES CHARGES AGAINST THREE UK-BASED TRADING FIRMS FOR PARTICIPATING IN ILLEGAL WASH TRADES ON U.S. MARKETS; Fimat International Banque SA, Refco Overseas Ltd. and Credit Lyonnais Rouse Limited Ordered to Pay Total of $75,000 in Civil Penalties , 5002-04 |
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CFTC CHARGES NEW YORK FIRM FIRST LIBERTY GROUP AND ITS PRESIDENT, MAURICIO DA SILVA, WITH STEALING MILLIONS IN FOREIGN CURRENCY SCAM; U.S. District Court Judge Freezes Defendants' Assets and Prohibits Defendants from Destroying Documents , 5001-04 |
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CFTC FILES ACTION AGAINST G. VICTOR JOHNSON AND THE ACCOUNTING FIRM OF ALTSCHULER, MELVOIN & GLASSER LLP FOR ALLEGED AUDITING FAILURES , 5000-04 |
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COURT ORDERS ILLINOIS BROKER JOHN M. LOFGREN AND MELROSE ASSET MANAGEMENT TO PAY OVER $5.5 MILLION TO DEFRAUDED COMMODITY POOL PARTICIPANTS , 4999-04 |
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CFTC's Technology Advisory Committee to Meet Wednesday, October 13, 2004 , 4998-04 |
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CFTC CHARGES FLORIDA BUSINESSES AND EMPLOYEES WITH FRAUD; CFTC Alleges that Wilshire Investment Management Corporation, Owner Andrew Alan Wilshire, Employees Eric Scott Malcolmson and James Joseph Russo, and Guarantor National Commodities Corporation, Inc. Fraudulently Solicited Customers to Trade Option Contracts , 4997-04 |
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CFTC AWARDED FINAL JUDGMENT IN FRAUD ACTION AGAINST WORLD BANKS FOREIGN CURRENCY TRADERS, INC. AND OTHERS; Defendants Ordered to Pay Over $8 Million in Restitution and Civil Penalties , 4996-04 |
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CFTC Releases Rule Enforcement Review of Regulatory Compliance Programs at Minneapolis Grain Exchange , 4995-04 |
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CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange , 4994-04 |
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CFTC CHARGES THREE ADDITIONAL DEFENDANTS IN PENDING TENNESSEE FRAUD ACTION; Amended Complaint Alleges that Gordon J. Vandeveld, Ernst H. Behr, and Reverie LLC Made Fraudulent Misrepresentations When Soliciting Customers to Purchase Foreign Currency Futures , 4993-04 |
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U.S. COMMODITY FUTURES TRADING COMMISSION ACTION FINDS FORMER BAYSIDE, NEW YORK MAN FAILED TO REGISTER AS COMMODITY TRADING ADVISOR , 4992-04 |
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OFFICE MANAGER OF LOS ANGELES FOREIGN CURRENCY FIRM AGREES TO COOPERATE WITH GOVERNMENT AND SETTLES CHARGES OF SELLING ILLEGAL OFF-EXCHANGE FOREIGN CURRENCY FUTURES CONTRACTS , 4991-04 |
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COURT ENTERS DEFAULT JUDGMENT AGAINST NEW YORK FOREIGN CURRENCY FIRM AND OTHERS, ORDERING DEFENDANTS TO PAY OVER $30 MILLION IN PENALTIES AND $10 MILLION IN RESTITUTION TO CUSTOMERS: Judgment Entered In International Scam Against Defendants Eduard Dmanskiy and Sun Platinum and Relief Defendants Ocaline Int'l Corp., Hessar Alliance Inc., Klondike Int'l Inc., Pyrmont Alliance Corp., and Total Trading Services Ltd. Stemming From CFTC Charges That They Fraudulently Misappropriated Customer Funds And Traded Illegal, Off-Exchange Futures Contracts , 4990-04 |
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CFTC CHARGES UTAH FIRM, THREE OF ITS OFFICERS, AND A UTAH ATTORNEY WITH FRAUD; Vision Capital Corporation, Officers John Garrett, Allen Andersen, Robert Heninger, and Utah Attorney John Thomas Charged With Commodity Pool Fraud , 4989-04 |
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CFTC FILES $2.4 MILLION ENFORCEMENT ACTION AGAINST CHICAGO RESIDENT EDWARD VELAZQUEZ AND HIS HEDGE FUND , 4988-04 |
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CFTC Announces New Location for its Kansas City Regional Office , 4987-04 |
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FEDERAL COURT ORDERS PORTLAND RESIDENTS TO PAY MORE THAN $1.3 MILLION TO SETTLE FOREIGN CURRENCY FUTURES AND OPTIONS FRAUD CHARGES; Court Orders Nancy Hoyt, April Duffy, and Samantha Vorachith to Repay a Total of $596,337 to Investors and to Pay Contingent Civil Penalties Totaling $720,000 , 4986-04 |
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CFTC REVOKES REGISTRATION OF ILLINOIS FLOOR BROKER STUART MICHAEL HELFFRICH; CFTC Action Based in Part on Fraud Findings by Chicago Board of Trade , 4985-04 |
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CFTC FILES $10 MILLION ENFORCEMENT ACTION AGAINST WINNETKA, ILLINOIS HEDGE FUND TRADEWINDS INTERNATIONAL, LLC, AND ITS PRINCIPAL, CHARLES HARRIS , 4984-04 |
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CFTC Staff Allows the Mercato Italiano Dei Derivati's Futures Contracts Based on the S&P/MIB Index to be Offered and Sold in the United States , 4983-04 |
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CFTC Statement Re: Closure of Natural Gas Price Investigation , 4982-04 |
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CFTC Announces Departure of Scott Parsons , 4981-04 |
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CFTC FINDS THAT NYMEX FLOOR BROKER, IZMIR MEHMEDOVIC OF GLENDALE, NEW YORK, DEFRAUDED CUSTOMER , 4980-04 |
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U.S. DISTRICT COURT GRANTS SUMMARY JUDGMENT TO CFTC IN FRAUD ACTION AGAINST FLORIDA RESIDENTS, Genady Spivack A.K.A. George Spivak, Ellison Kent Morris, AND World-Wide Currency Services, Corp.; defendants Ordered to Pay Over One Million Dollars in Restitution and Are Permanently Banned from Commodity Related Trading or Solicitation , 4979-04 |
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COURT FINDS THAT FLORIDA RESIDENT AND TWO COMPANIES DEFRAUDED CUSTOMERS IN FOREIGN CURRENCY OPTIONS SCAM: Michael Dippolito, MAD Financial, Inc., and CTU, Inc. Agree to Pay Civil Penalty for Defrauding Investors , 4978-04 |
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CFTC CHARGES TEXAS-BASED COMMODITY TRADING ADVISOR NEXGEN SOFTWARE SYSTEMS, INC., AND OWNER JOHN P. NOVAK WITH COMMODITIES FRAUD; Defendants Allegedly Solicited Customers to Purchase their Advisory Services Using False Claims; Nexgen and Novak also Failed to Register as Commodity Trading Advisors , 4977-04 |
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FEDERAL COURT ENJOINS VISALIA, CALIFORNIA COMMODITIES TRADER AND HIS COMPANY FROM VIOLATING THE COMMODITY EXCHANGE ACT; Consent Order of Permanent Injunction Entered Against Donald Steven Smith and His Company, Fibit.com , 4976-04 |
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MESA, ARIZONA PONZI SCHEME OPERATOR, RONALD STEPHEN HOLT, HELD IN CIVIL CONTEMPT FOR REFUSING TO REVEAL LOCATION OF VICTIMS' FUNDS; Court Orders Holt Jailed After 'Show Cause' Hearing; Action Stems from CFTC Antifraud Charges Brought Against Holt in September 2003 , 4975-04 |
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Illinois District Court Judge Orders Chicago Broker Keith W. Krysinski to Pay More Than $400,000 in CFTC Anti-Fraud Case, While Banning the Defendant from the Futures Industry For at Least Five Years , 4974-04 |
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CALIFORNIA FIRM CHASE COMMODITIES CORP. & TWO INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS; Firm and Traders Lee Lagorio and Excel Obando Allegedly Made False Claims that Customers Would Make Large Profits with Little Risk , 4973-04 |
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ENFORCEMENT ACTION FILED AGAINST FORMER CEO OF RITTMEISTER CAPITAL MANAGEMENT, INC.; Pending Federal Criminal Charges Against Udo Rotmistrenko Alleged As Grounds for Suspending CFTC Registrations , 4972-04 |
