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CFTC Releases Rule Enforcement Review of the Minneapolis Grain Exchange , 4524-01 |
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CFTC Charges LA Commodity Firm with Fraud; CFTC Alleges That Madison Financial Group Told Salesmen To "Make Up A Story" To Solicit Customers, , 4523-01 |
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Floor Broker - Michael H. Varner - Charged with Violating a 1999 CFTC Order , 4522-01 |
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CFTC Staff Allows LIFFE's Mini Futures Contract Based on the FTSE 100 Index to be Offered and Sold in the United States , 4521-01 |
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Commodity Futures Trading Commission Issues Notice of Proposed Rulemaking Regarding Notice-Designated Contract Markets in Security Futures Products , 4520-01, |
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CFTC Staff Allows the Tokyo Stock Exchange's Futures Contract Based on the S&P/TOPIX 150 Index to be Offered and Sold in the United States , 4519-01 |
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WISCONSIN RESIDENT MICHAEL JAMES KONKEL BARRED FROM TRADING COMMODITY INVESTMENTS IN CFTC FRAUD CASE; Alabama Federal Court Requires Defendant Konkel to Make Restitution of $790,000 to Defrauded Investors and Pay a Civil Fine of Up to $440,000 and Bars Him From Registering with the CFTC , 4518-01 |
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Proposed Rules to Provide for Notice Registration as a Futures Commission Merchant or Introducing Broker for Securities Broker-Dealers Trading Security Futures Products , 4517-01, |
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CFTC Staff Allows the Mercato Italiano dei Derivati Division's miniFIB Futures Contract Based on the MIB 30 Index to be Offered and Sold in the United States , 4516-01 |
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CFTC Proposes Rules for Derivatives Clearing Organizations , 4515-01 |
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CFTC and SEC Propose Joint Rules Relating to Security Futures Products , 4514-01 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FIRMS FRAUDULENTLY SELLING ILLEGAL FOREIGN CURRENCY (FOREX) OPTIONS; In Two Separate Actions, CFTC Charges (1) the ICS Common Enterprise (three Florida companies) and Three Individuals - Valentin Fernandez, Daniel Phillips, and Manny Kavekos of Florida; and (2) Infinite Trading Group, L.L.C., a Georgia Forex Firm, along with Shawn Christie, Edward Cameron Lindsey and Anthony Garcia of Georgia , 4513-01 |
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CFTC SETTLES FRAUD ACTION AGAINST COMEX FLOOR BROKER TIMOTHY MURPHY , 4512-01 |
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Commodity Futures Trading Commission Issues Final Privacy Regulations Implementing Notice Requirements and Restrictions on the Ability of Financial Institutions Subject to Its Jurisdiction to Disclose Nonpublic Personal Information About Consumers to Nonaffiliated Third Parties , 4511-01, |
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CFTC Adopts Rules for Opting Out of Segregation, as to Trading Conducted on a Registered Derivatives Transaction Execution Facility , 4510-01 |
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Proposed Rules to Govern Requests for Exemptive Orders by Securities Broker-Dealers Trading Security Futures Products , 4509-01 |
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CFTC CHARGES SUNSTATE FX, INC. AND ULRICH GARBE OF BOCA RATON, FLORIDA, WITH FRAUD IN CONNECTION WITH THE SOLICITATION OF INVESTORS TO TRADE FOREIGN CURRENCY (FOREX) CONTRACTS; Complaint Alleges that SunState and Garbe Fraudulently Operated a Commodity Pool and Illegally Offered Foreign Currency Options to the Retail Public; Court Enters <em>Ex Parte</em> Restraining Order Against the Defendants on the Same Day the Complaint is Filed , 4508-01 |
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CFTC CHARGES JEFFREY T. BAILEY OF AMELIA, OHIO, AND JMK CAPITAL MANAGEMENT, INC. WITH COMMODITY POOL FRAUD , 4507-01 |
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UTAH FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST MARK AND STEVE SCHENK FOR THEIR PARTICIPATION IN A FRAUDULENT COMMODITY POOL SCHEME; The Consent Order Requires Mark and Steve Schenk to Pay Restitution and Disgorgement and Permanently Bars Them From Trading Commodity Futures and Options For Others and From Seeking Registration with the CFTC , 4506-01 |
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Farm Groups Meet to discuss Risk Management Measures for Farmers , 4505-01 |
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FLORIDA DISTRICT COURT ISSUES FINAL ORDER OF JUDGMENT AGAINST NATIONAL BULLION AND COIN, INC., CAPITAL CREDIT MANAGEMENT & FINANCE, INC., JOSEPH B. FLANIGAN, AND LAWRENCE COLMAN; Order Requires Defendants to Pay in Excess of $12 Million in Restitution and Civil Monetary Penalties in Case Involving the Fraudulent Marketing of Illegal Precious Metals Futures Contracts , 4504-01 |
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CFTC SETTLES ENFORCEMENT ACTION AGAINST ISAAC FLEYSHMAKHER FOR COMMODITY POOL FRAUD; CFTC Order Finds that Fleyshmakher Made Fraudulent Solicitations and Engaged in Unauthorized Trading and Misappropriation of Funds in Connection with His Operation of New Frontier and New Millennium Commodity Pools; Order Requires Him to Pay Restitution to Defrauded Investors, Among Other Sanctions , 4503-01 |
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CFTC CHARGES JAMES SPENCER BROWN OF FORT WORTH, TEXAS WITH FRAUD AND VIOLATION OF A CFTC ORDER; Complaint Alleges that Brown Fraudulently Solicited Customers While Acting as an Unregistered Commodity Trading Advisor and Violated Registration and Disclosure Requirements , 4502-01 |
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CFTC Releases Rule Enforcement Review of the Cantor Financial Futures Exchange , 4501-01 |
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CFTC Agricultural Advisory Committee to Meet on Wednesday, March 28, 2001 , 4500-01 |
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U.S. DISTRICT COURT IN CALIFORNIA ISSUES ORDER ENJOINING RABB SABIN AND ART SMITH FROM FRAUDULENTLY SOLICITING CUSTOMERS TO SUBSCRIBE TO WEBSITE THAT TOUTED THEIR PURPORTEDLY PROFITABLE COMMODITY OPTIONS TRADING METHODOLOGY; Defendants Are Ordered To Pay Restitution of Over $384,700 and Civil Monetary Penalties Totaling $100,000 , 4499-01 |
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CFTC Issues Proposed Privacy Regulations Implementing Notice Requirements and Restrictions on Financial Institutions Subjects to Its Jurisdiction , 4498-01 |
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International Futures Regulators Meeting , 4497-01 |
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CFTC Announces Releases of 2001 Report on Exchange-Traded Derivatives in Developing Capital Markets , 4496-01 |
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CFTC Launches Redesigned Website , 4495-01 |
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CFTC Proposes Rule for Opting Out of Segregation For Trading Conducted on a Registered Derivatives Transaction Execution Facility , 4494-01 |
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CFTC Proposes Rules Implementing Commodity Futures Modernization Act of 2000 , 4493-01 |
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FEDERAL COURT IN HAWAII PERMANENTLY ENJOINS DAVID T. MARANTETTE, III FROM COMMITTING COMMODITY FRAUD WHEN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; The Consent Order Imposes a Permanent Injunction and Trading Ban and Requires Marantette and his Company, Troubadour, Inc., to Make Restitution to Investors of Up to Approximately $2.25 Million , 4492-01 |
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CFTC ACCEPTS SETTLEMENT OFFER OF FORMER BRANCH MANAGER DARRYL M. OSLER IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS TO INVEST IN COMMODITY OPTIONS; Osler Agrees Never to Seek Registration or Exemption from Registration with the CFTC or Otherwise Engage in Activities Requiring Registration or Exemption from Registration , 4491-01 |
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CFTC Appoints Commissioner Erickson Chairman of Technology Advisory Committee , 4490-01 |
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CFTC ISSUES TWO ADVISORIES ADDRESSING THE OFFERING OF FOREIGN CURRENCY (FOREX) TRADING OPPORTUNITIES TO THE RETAIL PUBLIC; CFTC Outlines New Forex Regulatory Scheme and Also Alerts the Public To Foreign Currency Scams , 4489-01 |
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FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST ANTHONY HOLT FOR HIS INVOLVEMENT IN A FRAUDULENT COMMODITY POOL SCHEME; Holt is Permanently Barred from the Futures Industry and Agrees to Pay Civil Penalty , 4488-01 |
