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CFTC SETTLES ENFORCEMENT ACTION AGAINST FLOOR BROKER CHARGED WITH UNLAWFULLY TRADING COFFEE FUTURES; John Joyce Is Suspended For Three Months and Ordered to Pay $25,000 Penalty , 4708-02 |
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CFTC Releases Rule Enforcement Review of the Commodity Exchange Inc. Division of the New York Mercantile Exchange , 4707-02 |
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ST. LOUIS COMMODITY TRADER AND HIS COMPANY CHARGED WITH TAKING AS MUCH AS $494,000 FROM INVESTORS; CFTC Also Charges Defendants With Giving Investors False Account Statements Showing Profitable Trading When the Defendants Were Losing Money , 4706-02 |
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SISTER OF A FORMER EMPLOYEE OF A CHICAGO COMMODITY FIRM AGREES TO TURN OVER MONEY HER BROTHER GAVE HER AS PART OF HIS FRAUDULENT SCHEME; CFTC Also Obtains Default Judgment Against Other Remaining Relief Defendants , 4705-02 |
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TWO TEXAS MEN SETTLE FEDERAL CHARGES OF FRAUDULENT COMMODITY SCHEME; CFTC Imposed Penalties and Trading Bans , 4704-02 |
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FLORIDA RESIDENT CHARGED WITH SWINDLING AT LEAST $10.6 MILLION FROM INVESTORS AND SPENDING MONEY ON LAS VEGAS JUNKETS, AIRPLANE CHARTERS, HOMES, AND AUTOMOBILES, CFTC Charges Donald C. O'Neill and His Companies with Fraudulent Solicitation and Misappropriation in Connection With Purported Foreign Currency Hedge Funds , 4703-02 |
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Appointment of Richard E. Collier to be Central Regional Coordinator , 4702-02 |
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CFTC'S DIVISION OF ENFORCEMENT NAMES NEW REGIONAL COUNSEL FOR CHICAGO AND NEW YORK OFFICES; Rosemary Hollinger New Regional Counsel for Chicago and Stephen Obie Takes Over as Regional Counsel for New York , 4701-02 |
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CFTC Announces Participants for Its Roundtable on Managed Funds Issues , 4700-02 |
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CFTC Announces Division of Clearing and Intermediary Oversight Regional Management Staff , 4699-02 |
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The CFTC and the Superintendencia De Valores Y Seguros De Chile Sign Memorandum of Understanding , 4698-02 |
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ATLANTA INVESTMENT FIRM AND ITS CHIEF EXECUTIVE OFFICER CHARGED WITH SOLICITING OVER $400,000 FROM CUSTOMERS TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; Government Obtains Federal Court Order Preventing Defendants from Offering Illegal FOREX Contracts and Freezing Assets of Defendants Advent Capital Partners, Ltd. and Samuel Daley , 4697-02 |
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FORMER EMPLOYEE OF AVISTA ENERGY, INC. SETTLES MANIPULATION CHARGES; CFTC Orders Robert Kristufek To Pay $155,000 Civil Monetary Penalty and Imposes Two-Year Trading Ban , 4696-02 |
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ILLINOIS MAN AND HIS FIRM CHARGED WITH SWINDLING OVER $1.4 MILLION IN COMMODITY FRAUD; CFTC Charges John Martin Lofgren and Melrose Asset Management With Fraud , 4695-02 |
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CALIFORNIA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING COMMODITY OPTIONS FRAUD; Madison Financial Group, LLC, and Its President and a Principal, Richard A. Cohen, Are Permanently Barred From Trading Commodity Futures and Options , 4694-02 |
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GEORGIA CORPORATION AND TWO INDIVIDUALS CHARGED WITH FRAUDULENTLY OFFERING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Global Financial Consulting, Inc., Wook Hyun Kim, and Chang H. Lee , 4693-02 |
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SOUTHERN CALIFORNIA FOREIGN CURRENCY TRADING OPERATORS CHARGED WITH SELLING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES: CFTC Charges Nawab Ali Khan Ali, Mega Trend 2000, Inc., Sterling FX International LLC, and Roger Barreto, All Operating Out of Glendale, California , 4692-02 |
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FLORIDA RESIDENTS AND THEIR COMPANIES CHARGED WITH MISAPPROPRIATING CUSTOMER FUNDS IN FOREIGN CURRENCY (FOREX) FUTURES SCAM: CFTC Charges First Bristol Group, Inc., Alliance Equity Group, Inc., Centurion Financial Group, LC, and Great Minster Group, Inc., Staci Lee Petok, Bernard Justin Sevilla, Jack Martin Pomeroy, and Michael Desmond Biggs With Fraud , 4691-02 |
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UTAH COMPANY AND FOUR UTAH RESIDENTS CHARGED WITH COMMODITY POOL FRAUD; CFTC Alleges Gahma Corporation, John Garrett, Allen Andersen and Robert Heninger Fraudulently Solicited at Least $700,000 from Individuals to Trade Commodity Futures Contracts; CFTC Also Charges Stephen Brockbank, an Advisor to the Pool, with Fraud; This is the Second Fraud Action Filed by the CFTC Against Brockbank , 4690-02 |
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Minnesota Federal Court Preliminarily Enjoins Foreign Currency Fraud</span>: Defendants Sovereign Resource Management, Inc., Ken Mitra, Virgil Smith and Anthony Heppner Ordered to Account for Investor Funds , 4689-02 |
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Walt Lukken Sworn in as CFTC Commissioner , 4688-02 |
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Sharon Brown-Hruska Sworn in as CFTC Commissioner , 4687-02 |
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FEDERAL COURT APPOINTS RECEIVER TO TAKE CONTROL OF ASSETS OF MICHIGAN ATTORNEY IN COMMODITIES FRAUD CASE; The CFTC Charged Defendant Charles Mady with Issuing False False Account Statements to Hide Mounting Commodity Trading Losses and Misappropriating Investor Funds , 4686-02 |
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CFTC and SEC Adopt Final Rules Necessary to Permit Domestic Trading in Security Futures Products , 4685-02 |
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CFTC Proposes Reporting Level for TRAKRS Futures Contracts , 4684-02 |
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CFTC CHARGES MICHIGAN RESIDENT WITH INTERNET FRAUD AS PART OF FEDERAL "NETFORCE" INITIATIVE; Complaint Alleges Fraudulent Promotion of Internet Trading System , 4683-02 |
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CFTC FINES FORMER TRADING ADVISOR FOR HIS ROLE IN MULTI-MILLION DOLLAR FRAUDULENT ALLOCATION SCHEME; Michael Skrable Agrees to Be Prohibited From Trading and From Registration , 4682-02 |
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CFTC Announces Participants for Its Roundtable on Clearing Issues , 4681-02 |
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CFTC Issues Order Suspending and Restricting Floor Broker's Registration Based on Exchange Disciplinary Proceedings , 4680-02 |
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FLORIDA FEDERAL COURT ENJOINS RECIDIVIST IN ACTION ALLEGING HE MISAPPROPRIATED AT LEAST $1 MILLION IN CUSTOMER FUNDS AND VIOLATED A PRIOR FEDERAL COURT ORDER; Consent Order issued by United States District Court in Florida Enjoins Defendants Thomas D. Chilcott and Leona Westbrook from, among other things, Committing Fraud and also Permanently Bars Defendants from Commodity Trading , 4679-02 |
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CFTC Staff Allows ASX Futures Exchange Pty Limited's Futures Contracts Based on the S&P/ASX 200 Index and the S&P/ASX 50 Index to be Offered and Sold in the United States , 4678-02 |
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GRENADIAN COMPANY, A CANADIAN CITIZEN, AND TWO MINNESOTA RESIDENTS CHARGED WITH COMMODITY POOL FRAUD; CFTC Alleges that Sovereign Resource Management, Inc., Ken Mitra, Virgil E. Smith, and Anthony J. Heppner Fraudulently Solicited Individuals to Trade Foreign Currency Futures Contracts and Misappropriated Over $600,000 of Investors' Funds , 4677-02 |
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CFTC SUSPENDS TWO FLOOR BROKERS FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settlement, Joseph Defrancesco Found to Have Engaged in Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices, and Marc Greenstein Found to Have Engaged in Noncompetitive Trading, Wash Sales, and Accommodation Trades , 4676-02 |
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NEW YORK FOREIGN CURRENCY FIRMS CHARGED WITH FRAUDULENTLY SOLICITING OVER $15 MILLION FROM AS MANY AS 400 CUSTOMERS NATIONWIDE TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Defendants International Financial Services (New York), Inc., International Financial Services (New York), LLC, John Walker Robinson, and Chan Kow Lai , 4675-02 |
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CFTC Joins with Treasury Department on Proposed Patriot Act Rules , 4674-02 |
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FLORIDA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING FOREIGN CURRENCY (FOREX) OPTIONS FRAUD; International Currency Strategies, Inc., Strategic Trading Group, Inc., Fairfield Currency Group, Inc., and Their Officers - Daniel Phillips and Valentin Fernandez - Are Permanently Barred From Trading Commodity Futures and Options , 4673-02 |
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CFTC Notifies National Futures Association of Results of a Rule Enforcement Review , 4672-02 |
