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CFTC FILES ENFORCEMENT ACTION ALLEGING THE FRAUDULENT PROMOTION OF COMMODITY TRADING METHODOLOGY OVER THE INTERNET; CFTC Alleges that Rabb Sabin and Art Smith, Both of California, Fraudulently Misrepresented the Profitability and Performance of Their Internet Website’s Trading Methodology and Their Backgrounds and Trading Histories , 4451-00 |
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CFTC FILES AND SETTLES ADMINISTRATIVE ENFORCEMENT ACTION AGAINST MARTIN K. ROGERS FOR TRADING WITHOUT A SPONSOR IN VIOLATION OF A COMMISSION ORDER; Rogers' Registration Is Suspended for 30 Days and Restricted for One Year , 4450-00 |
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CFTC Release Rule Enforcement Review of Kansas City Board of Trade, , 4449-00 |
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ILLINOIS COURT ENTERS CONSENT ORDERS OF PERMANENT INJUNCTION AGAINST RANDALL WILLIAMS AND TERRY G. WIGTON IN CASE INVOLVING A FRAUDULENT COMMODITY POOL SCHEME; Williams and Wigton Are Barred From the Commodities Industry and Ordered to Pay Restitution and Disgorgement Amounts Totaling More than $1.5 Million , 4448-00 |
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CFTC and SEC Announce Agreement to Reform Shad-Johnson Accord, , 4447-00 |
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CFTC CHARGES LEONARD G. NAUMAN, EDWARD STEVENSON KIRRIS , III, WILLIAM J. RELF, PENSION AMERICA, INC. , FUTURES PROFIT MAKING, LLC., SELECTIVE FUTURES MANAGEMENT, LLC., SPECIALIZED COMMODITY TIMING, LLC., AND COMMODITY TIMING SPECIALISTS, LLC., WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS COMMODITY POOL OPERATORS; The Complaint Alleges that Nauman, Kirris, and Relf Pooled at least $600,000 From Approximately 36 Investors Mostly in the Minneapolis and Brainerd, Minnesota Areas; Court Issues An <i>Ex parte</i> Restraining Order Freezing Defendants' Assets and Prohibiting the Destruction of Documents , 4445-00 |
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CFTC FILES ANTI-FRAUD ENFORCEMENT ACTION AGAINST RICHARD A. VIELE, BERNADETTE FLAVELL, KEVIN KATES, AND SYSTEMS OF SUCCESS -- ALL OF FLORIDA; CFTC Alleges that Viele, Flavell, Kates and Systems of Success Fraudulently Misrepresented the Profitability and Performance Records of Various Futures Trading Systems Developed and Marketed by Them , 4444-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST PEREGRINE FINANCIAL GROUP, INC., IN CONNECTION WITH FINANCIAL VIOLATIONS; CFTC Orders Peregrine To Pay a $90,000 Civil Monetary Penalty and Comply With Various Undertakings , 4443-00 |
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CFTC FILES FIVE ENFORCEMENT ACTIONS ALLEGING THE FRAUDULENT PROMOTION OF COMMODITY TRADING SYSTEMS OVER THE INTERNET; CFTC Actions Are Part of Initiative To Clean Up Fraudulent Internet Web Sites , 4442-00 |
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CFTC Proposes to Revise Its Interpretation of the Rule 30.7 Foreign Futures and Foreign Options Secured Amount Requirement, , 4441-00 |
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United States of Appeals Upholds CFTC Order Holding a Futures Commission Merchant Liable, Under a Voluntarily-Undertaken Guarantee Agreement, for a Commodity Exchange Act Violation Committed by Its Guaranteed Introducing Broker, , 4440-00 |
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CFTC ACCEPTS SETTLEMENT OFFER OF FORMER REFCO FLOOR BROKER CONSTANTINE MITSOPOULOS IN CONNECTION WITH SUPERVISION AND RECORDKEEPING VIOLATIONS; CFTC Orders Mitsopoulos to Pay A $1,000,000 Civil Monetary Penalty And To Comply With His Undertakings, Including Never To Seek Registration With the CFTC , 4439-00 |
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U.S. DISTRICT COURT IN WEST VIRGINIA ENTERS ORDER OF PRELIMINARY INJUNCTION AGAINST ROBERT L. DORMAGEN AND DELTA FINANCIAL CORPORATION IN CFTC ANTI-FRAUD ENFORCEMENT ACTION , 4438-00 |
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CFTC CHARGES STEPHEN W. BROCKBANK, CAROL J. LOVE, AND BIRMA LTD., OF UTAH WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS COMMODITY POOL OPERATORS , 4437-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF CURTIS McNAIR ARNOLD AND LONDON FINANCIAL, INC. IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CLIENTS; Arnold Is Ordered To Pay A $100,000 Civil Monetary Penalty, Among Other Sanctions , 4436-00 |
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CFTC Approves CBT Proposal to Increase Maximum Daily Price Fluctuation Limits for Its Agricultural and Precious Metal Futures and Option Contracts, , 4435-00 |
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Commission Approves Step One of Chicago Board of Trade Restructuring Plan, , 4434-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST REGISTRANTS JOSEPH FRAITES, MICHAEL MARTIN, MARK MUELLER, AND ALFRED ZAMOJCIN IN CASE INVOLVING THE FAILURE TO OBTAIN AND RECORD ACCOUNT IDENTIFICATION IMMEDIATELY UPON RECEIPT OF CUSTOMER ORDERS; The CFTC Order Imposes Civil Monetary Penalties Aggregating $35,000 and Restricts Respondents' Registrations , 4433-00 |
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CFTC Extends Comment Period for Proposal Concerning New Regulatory Framework, , 4432-00 |
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Commodity Futures Trading Commission Adopts Revisions to Rule 4.7, , 4431-00 |
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Commodity Futures Trading Commission Issues Amendments to Regulation 1.59 Regarding Trading Prohibitions Imposed on Certain Persons Affiliated with Self-Regulatory Organizations, , 4430-00 |
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CFTC Adopts Amendments to Part 30 of Its Rules Expanding Significantly the Ability of U.S. Persons to Place Foreign Futures and Foreign Options Orders, , 4429-00 |
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TEXAS FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST KENT C. CALHOUN, INDIVIDUALLY, AND AS AN AGENT OF OR DOING BUSINESS AS KCI SEMINARS, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT ADVERTISING AND PROHIBITED REFERENCES TO CFTC IN ADVERTISEMENTS, Calhoun Is Barred From Referencing the CFTC or Otherwise Using the CFTC’s Name in Soliciting Customers And Is Ordered to Publish Retractions of Fraudulent Advertisements , 4428-00 |
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Commission Approves New York Mercantile Exchange Demutualization Proposal, , 4427-00 |
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Commission Raises Maximum Amount of Civil Monetary Penalties to Adjust for Inflation, , 4426-00 |
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U.S. DISTRICT COURT ENTERS CONSENT ORDERS AGAINST JOSEPH P. MCGIVNEY, SR. AND EDWIN A. KOZIOL, JR. REQUIRING THEM TO PAY MORE THAN $800,000 IN RESTITUTION AND PERMANENTLY BARRING THEM AND THEIR COMPANY FROM THE FUTURES INDUSTRY FOR FRAUDULENT COMMODITY POOL SCHEME , 4425-00 |
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COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST DAVID MICHAEL LOYD IN EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD., COMMODITY POOL FRAUD CASE; Order Requires Loyd to Make Full Restitution of Up to $2.5 Million to Investors , 4424-00 |
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CFTC Agricultural Advisory Committee to Meet Today, , 4423-00 |
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CFTC FILES AND SETTLES ACTION AGAINST WILLIAM G. BILLINGS AND BILLFUND, INC. OF OKLAHOMA IN CONNECTION WITH THE FRAUDULENT OPERATION OF THREE COMMODITY POOLS; CFTC Order Finds that the Respondents Defrauded at Least 40 Pool Participants Out of Approximately $1.6 Million , 4422-00 |
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CFTC Designates Merchants' Exchange of St. Louis as a Contract Market, , 4421-00 |
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CFTC CHARGES PHILLIP FERGUSON d/b/a FERGUSON FINANCIAL, B& F TRADING, AND FIRST INVESTOR’S GROUP WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS A COMMODITY POOL OPERATOR , 4420-00 |
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CFTC Releases Rule Enforcement Review of Chicago Board of Trade, , 4419-00 |
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CFTC CHARGES ROBERT L. DORMAGEN AND DELTA FINANCIAL CORP. WITH FRAUD IN CONNECTION WITH THE CAPITAL GROUP III, L.P. COMMODITY POOL AND OTHER INDIVIDUAL CUSTOMERS , 4418-00 |
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COURT PRELIMINARILY ENJOINS DEFENDANTS FROM CONTINUING TO OPERATE IN A CASE ALLEGING AN $18 MILLION FRAUDULENT PRECIOUS METALS SCHEME; Court Found that Defendants -- Including IBS Inc. and IMC Trading Inc. -- Fraudulently Solicited Customers From Offices In Four States , 4417-00 |
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CFTC Issues Statements of Policy Permitting Certain Foreign Boards of Trade to List New Futures and Option Contracts through U.S.-Located Trading Systems , 4414-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST IRA M. LAVENDER IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CLIENTS , 4413-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST SEUNGHO KIM, JOHN KI PARK, AND HOUSTON SYSTEM TRADING, LLC IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS AND POOL PARTICIPANTS , 4412-00 |
