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Commodity Futures Trading Commission (CFTC) Advisory on Foreign Currency , 06-01 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST FOUR COMEX FLOOR BROKERS, CHARGING THEM WITH FRAUDULENTLY EXECUTING GOLD OPTIONS TRADES, AMONG OTHER VIOLATIONS OF FEDERAL COMMODITIES LAW; CFTC Accepts Offers of Settlement from Paul Merolla and Philip Selby and Files An Administrative Complaint Against Timothy Murphy and Vincent Coppola , 4487-01 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST FORMER GRIFFIN TRADING COMPANY CHIEF FINANCIAL OFFICER, SCOTT N. SZACH; CFTC Finds that Szach Failed to Supervise Griffin's London Branch Office, Filed False Reports, and Committed Segregation and Recordkeeping Violations in Connection with His Unauthorized Trading , 4486-01 |
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CFTC Names James E. Newsome Acting Chairman , 4485-01 |
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CFTC Issues Final Rules Regarding Extensions of Time to File Annual Reports for Commodity Pools That Are Invested in Other Collective Investment Vehicles , 4484-00 |
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CFTC Designates OnExchange Board of Trade as a Contract Market and OnExchange Clearing Corporation as a Registered Clearing Organization , 4483-00 |
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<p>CFTC CHARGES JOHN F. O'HERRON OF ONEKAMA, MICHIGAN, AND O'HERRON ASSET MANAGEMENT, INC. WITH $2.7 MILLION COMMODITY POOL FRAUD; Court Issues Restraining Order Freezing Assets, Barring the Destruction of Books and Records, and Prohibiting Further Violations of Federal Commodity Law, , 4482-00 |
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CFTC Issues Partial Withdrawal of New Regulatory Framework , 4481-00 |
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CFTC Chairman William J. Rainer Resigns , 4480-00 |
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Congress Passes Commodity Futures Modernization Act, CFTC Reauthorized for Five Years , 4479-00 |
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The CFTC and the Commodities' Exchanges Commission of the Ministry of the Russian Federation Anti-Monopoly Policy and Support of Entrepreneurship Sign Joint Statement , 4478-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST ISAAC FLEYSHMAKHER, OF CHICAGO, ALLEGING COMMODITY POOL FRAUD; CFTC Complaint Alleges 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 , 4477-00 |
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CFTC CHARGES MARTIN BROWN AND GEOFFREY S. THOMPSON WITH A FRAUDULENT TRADE ALLOCATION SCHEME AND OBTAINS RESTRAINING ORDER FREEZING ASSETS AND RECORDS; Complaint Also Charges Brown and Thompson With Unauthorized Trading , 4476-00 |
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CFTC Approves Rules Implementing New Regulatory Framework , 4475-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST DONALD M. FISHBACK, JR. AND THE DONALD M. FISHBACK COMPANY ALLEGING FRAUDULENT SOLICITATION OF MEMBERS OF THE PUBLIC TO PURCHASE COMMODITY OPTIONS TRADING PRODUCTS AND SERVICES , 4474-00 |
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CFTC Approves the Sydney Futures Exchange's SPI 200 Futures Contract Based on the Standard & Poors/Australian Stock Exchange 200 Index for Offer or Sale in the U.S. , 4473-00 |
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FLORIDA FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST GARY V. VALLETTA IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions and a Two-Year Registration Ban , 4472-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST FREDERIC J. MERSCH, CHARGING HIM WITH VIOLATING EXCHANGE TRADING LIMITS , 4471-00 |
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CFTC Issues Proposed Rules Regarding Extensions of Time to File Annual Reports for Commodity Pools that are Invested in Other Collective Investment Vehicles , 4470-00 |
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<p align="left">CFTC Postpones Open Meeting Scheduled for Today, , 4469-00 |
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CFTC Reschedules Open Meeting for Monday, November 6th , 4468-00 |
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CFTC Postpones Open Meeting, , 4467-00 |
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CFTC PARTICIPATES IN JOINT LAW ENFORCEMENT INITIATIVE AIMED AT CLEANING UP THE INTERNET , 4466-00 |
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CFTC FILES ENFORCEMENT ACTION AGAINST U.S. SECURITIES & FUTURES CORP. (USSFC), JUSTUS ENTERPRISES, INC., THOMAS WHITE, NANCY BELLASSAI, JOHN HING, MICHAEL SKRABLE AND DANIEL REYNOLDS, CHARGING THAT THEY PARTICIPATED IN A FOREIGN BROKER’S MULTI-MILLION DOLLAR TRADE ALLOCATION FRAUD; CFTC Also Alleges, Among Other Things, That USSFC, Hing, White, Bellasai, Huaya Lu Tung, Thomas Gong, Jiping Wu, and Bellasai Failed to Supervise Diligently USSFC and Its Employees , 4465-00 |
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CFTC Reschedules Open Meeting, , 4464-00 |
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CFTC CHARGES JAMES STEPHENS III, AND TRENDSYSTEMS, INC. WITH COMMODITY FUTURES AND OPTIONS FRAUD AND OBTAINS STATUTORY RESTRAINING ORDER FREEZING DEFENDANTS’ ASSETS AND RECORDS , 4463-00 |
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CFTC to Hold Open Meeting on October 30th, , 4462-00 |
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Statement of the Commodity Futures Trading Commission on Passage of HR 4541, , 4461-00 |
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CFTC Revises Its Interpretation of the Rule 30.7 Foreign Futures and Foreign Options Secured Amount Requirement, , 4460-00 |
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UTAH FEDERAL COURT ENTERS PRELIMINARY INJUNCTION AGAINST STEPHEN W. BROCKBANK, CAROL J. LOVE, AND BIRMA, LTD., IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF A COMMODITY POOL , 4459-00 |
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CFTC Releases Rule Enforcement Review of the NYMEX Division of the New York Mercantile Exchange, , 4458-00 |
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CFTC ACCEPTS OFFER OF SETTLEMENT FROM FORMER REGISTRANT TIMOTHY M. BENGSON IN CONNECTION WITH FRAUDULENT ALLOCATION SCHEME; CFTC Order Imposes A Permanent Trading Ban, Requires Him to Comply with Undertaking Never To Seek Registration And Requires Payment of A Civil Monetary Penalty of Up To $110,000, Pursuant To Payment Plan , 4457-00 |
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<p>FLORIDA DISTRICT COURT ISSUES DEFAULT ORDERS OF PERMANENT INJUNCTION AGAINST INDIVIDUALS AND CORPORATIONS PROHIBITING THEM FROM CONTINUING TO OPERATE A FRAUDULENT PRECIOUS METALS SCHEME; Court’s Order Also Enjoins Them From Soliciting or Accepting Customers For Commodity Futures or Options Trading and Bars Them From Seeking Registration or Acting In Any Capacity Requiring Registration with the CFTC; Court Will Determine The Amount of Civil Monetary Penalties, Restitution and Disgorgement To Be Imposed, , 4456-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CTS FINANCIAL PUBLISHING, DEARBORN FINANCIAL PUBLISHING, DENNIS BLITZ, AND NICK VAN NICE ALLEGING FRAUD; Complaint Alleges that Respondents Fraudulently Marketed Commodity Futures and Options Trading-Related Products and that CTS Operated and Maintained an Internet Site that Promoted a Product Called <i>Swing Trader,</i> in Violation of Federal Commodity Law , 4455-00 |
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CFTC FILES ENFORCEMENT ACTIONS CHARGING FRAUDULENT SOLICITATION OF CUSTOMERS AGAINST TWO FLORIDA INTRODUCING BROKERS, MATRIX TRADING GROUP, INC. AND FIRST FINANCIAL TRADING, INC.; CFTC Also Charges Fraud Against Five Current and Former Principals and Employees of the Companies -- Christopher Smithers and David Wedeen of Matrix, and Corey Johnson, Scott Dewitte and Thomas Glover, II, of First Financial , 4454-00 |
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TENNESSEE DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST EDWIN JAY SHELDON AND APPLIED CAPITAL MANAGEMENT, LLC (ACM) IN COMMODITY POOL FRAUD CASE; The Consent Order Requires Sheldon and ACM to Make Full Restitution to Investors of Up to Approximately $334,000 , 4453-00 |
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CFTC ACCEPTS SETTLEMENT OFFER OF FORMER REFCO FLOOR BROKER LISA BUDICAK IN CONNECTION WITH ORDER-TAKING AND RECORDKEEPING VIOLATIONS; CFTC Orders Budicak to Pay A $20,000 Civil Monetary Penalty And Conditions Any Future Registration For the Next Four Years , 4452-00 |
