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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST DALE LUTHER MOCK, CHARGING HIM WITH UNAUTHORIZED TRADING AND FRAUD , 4411-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST TIMOTHY BENGSON, CHARGING HIM WITH FRAUDULENTLY ALLOCATING CUSTOMER TRADES , 4410-00 |
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CFTC Staff Allows SGX-DT’s Futures Contract Based on the Morgan Stanley Capital International Singapore Free Stock Index to be Offered or Sold in the U.S. , 4409-00 |
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CFTC FILES ENFORCEMENT ACTIONS AGAINST GLENN B. LAKEN, OF CHICAGO, ILLINOIS, AND WILLIAM M. STEPHENS, OF SAN FRANCISCO, CALIFORNIA; Respondents May Have Their CFTC Registrations Suspended Or Modified Due To Pending Federal Felony Charges Against Them , 4408-00 |
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CFTC Approves Demutualization Proposal , 4407-00 |
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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST JOHN LARRY SCHENK, SAM GRAY AND FIDELITY TRADERS GROUP IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF FOUR COMMODITY POOLS; Court Permanently Bars John Larry Schenk and Sam Gray From the Commodity Industry and Orders Restitution to Defrauded Investors , 4406-00 |
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CFTC Releases Proposal on New Regulatory Framework , 4405-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST HOWARD E. THOMPSON FOR EXCEEDING EXCHANGE TRADING LIMITS AND FILING A FALSE REPORT; CFTC Orders Thompson To Pay $50,000 Civil Monetary Penalty and Imposes A Sixty Day Trading Suspension , 4404-00 |
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CFTC FILES AND SETTLES ADMINISTRATIVE ENFORCEMENT ACTION AGAINST STANLEY C. HARLEY FOR FAILING TO REGISTER AS A COMMODITY TRADING ADVISOR AND TO DELIVER REQUIRED DISCLOSURE DOCUMENTS , 4403-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the OMXCAP Index traded on OM London Exchange Ltd and OM Stockholm Exchange AB , 4402-00 |
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CFTC FILES ACTION AGAINST MICHAEL JAMES KONKEL CHARGING HIM WITH FRAUD IN THE OPERATION OF A COMMODITY POOL; Court Issues Ex Parte Order Freezing Assets & Prohibiting Destruction of Books and Records , 4401-00 |
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CFTC, SEC, and Monetary Authority of Singapore (MAS) Sign Memorandum of Understranding (MOU) , 4400-00 |
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CFTC Participates in International "<i>Internet Surf"</i> Day to Uncover Fraudulent Promotion of Commodity Schemes, , 4399-00 |
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<p align="left">CFTC Particpates in International "<i>Internet Surf Day"</i> To Uncover Fraudulent Promotion of Commodity Schemes, , 4399-00 |
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U.S. DISTRICT COURT ORDERS FORMER ALPHARETTA, GEORGIA, MAN TO PAY $3.3 MILLION RESTITUTION AND PERMANENTLY BARS HIM AND HIS COMPANY FROM THE FUTURES INDUSTRY FOR FRAUDULENT COMMODITY POOL SCHEME; The CFTC Alleged that Donald E. James Pooled More than $5 Million from at Least 25 Investors throughout Georgia and Florida and Fraudulently Misappropriated Some of the Investors' Funds; In March 2000, James Was Sentenced to 51 Months in a Federal Prison , 4398-00 |
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CFTC FILES TEN ACTIONS ALLEGING FRAUDULENT INTERNET PROMOTION OF COMMODITY TRADING SYSTEMS AND ISSUES CONSUMER ADVISORY; CFTC Issues Ten Orders Against Fraudulent Internet Promoters; CFTC also Warns the Public to Be Wary of Websites which Claim that Purchasers of Trading Systems and Advisory Services Will Make Substantial Profits and Be Exposed to Minimal Risk of Loss , 4397-00 |
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CFTC's Technology Advisory Committee to Meet on April 25, 2000 , 4396-00 |
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CFTC Revises Guidance on How NFA Should Use Exchange Disciplinary Actions as "Other Good Cause" to Affect Floor Broker/Floor Trader Registration, , 4395-00 |
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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST BRIAN TOBLER, OF SYRACUSE, UTAH, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF THREE COMMODITY POOLS; Court Permanently Bars Tobler From Seeking Registration Or Acting In Any Capacity Requiring Registration With The CFTC and Prohibits Him From Trading For Ten Years , 4394-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF FORMER REFCO PHONE CLERKS MARGARET DULL AND RICHARD MARISIE IN CONNECTION WITH ORDER-TAKING AND RECORDKEEPING VIOLATIONS; CFTC Order Restricts And Conditions Dull’s and Marisie’s Floor Activities For Two Years and Requires Them to Pay $15,000 Each in Civil Monetary Penalties , 4393-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the LIFFE's Morgan Stanley Capital International (MSCI) Pan-Euro Index and the MSCI Euro Index, and on the EUREX's Dow Jones STOXX 50 Index and the Dow Jones EURO STOXX 50 Index , 4392-00 |
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The CFTC and the Italian Commissione Nazionale Per Le Societa E La Bors Supplement MOU , 4391-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the FTSE International Limited Eurobloc 100 Index, the Eurotop 300 Index, and the Eurotop 300 (Ex. U.K.) Index , 4390-00 |
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CFTC OBTAINS INJUNCTION AND OTHER RELIEF AGAINST ESFAND BARAGOSH, PRINCIPAL OF NOBLE WEALTH DATA INFORMATION SERVICES, INC., BASED ON A FRAUDULENT FOREIGN CURRENCY TRADING SCHEME; Federal District Court Finds That CFTC Has Jurisdiction Over Defendants’ Sale of Foreign Currency Contracts; Orders Baragosh to Pay Over $6.4 Million in Restitution and Fines , 4389-00 |
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CFTC FILES DISQUALIFICATION ACTION AGAINST DAVID ITZKOWITZ, FLOOR BROKER AT THE COFFEE SUGAR & COCOA EXCHANGE , 4388-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST STEVEN C. BRENNER AND JAMI WEISNER BRENNER CHARGING BRENNER WITH VIOLATIONS OF A CFTC TRADING PROHIBITION AND OF A COMMISSION ORDER AND WEISNER WITH AIDING AND ABETTING THOSE VIOLATIONS , 4387-00 |
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ILLINOIS FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST FTI FINANCIAL GROUP AND THREE OF ITS PARTNERS IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; Court Permanently Bars FTI And Samuel Foreman, Mark Stevens, and Carolyn Munn From Trading, Seeking Registration or Acting in Any Capacity Requiring Registration with the CFTC and Requires Them to Pay in Excess of $700,000 in Restitution , 4386-00 |
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CFTC PARTICIPATES IN "INTERNET SURF" TO UNCOVER FRAUDULENT PROMOTION OF COMMODITY INVESTMENT SCHEMES, , 4385-00 |
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CFTC Cancels Open Meeting Scheduled for March 29, 2000 , 4384-00 |
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NEW JERSEY COURT ENTERS PERMANENT INJUNCTION AND RESTITUTION ORDER IN CFTC INJUNCTIVE ACTION AGAINST MURRAY IRA ROSENBERG AND PRO BROKER SERVICES, INC., CHARGING COMMODITY FUTURES AND OPTION FRAUD; Court Permanently Bars Rosenberg From Trading For Others, and Requires Him to Pay $265,000 in Restitution , 4383-00 |
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CFTC CHARGES IMC COMMON ENTERPRISE AND THREE INDIVIDUALS IN $18 MILLION FRAUDULENT PRECIOUS METALS SCHEME; Court Freezes Defendants' Assets and Appoints Receiver to Take Control of Business; CFTC Charges Defendants with Fraudulently Telemarketing Customers And Offering Illegal Futures Contracts , 4382-00 |
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International Futures Regulators Meeting , 4381-00 |
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<div align="left"> CFTC Releases Report Regarding Gold Options Trading on September 28, 1999, , 4380-00 |
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<div align="left"> CFTC Approves LIFFE's Futures Contract Based on the FTSE International Limited Eurotop 100 Index to be Offered or Sold in the United States, , 4379-00 |
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Commission Approves Internet-Based FutureCom Exchange , 4378-00 |
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United States Court of Appeals for the Fifth Circuit Affirms Liability Findings of the CFTC that R&W Technical Services LTD. and Gregory M. Reagan Fraudulently Solicited Customers, in Violation of Sections 4b(a)(i), 4b(a)(iii), and 4o of the Commodity Exchange Act and CFTC Rule 4.41(a) , 4377-00 |
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CFTC SETTLES ACTION AGAINST FARMERS COOPERATIVE COMPANY, FINDING THAT IT OFFERED TO ENTER INTO, AND ENTERED INTO, ILLEGAL FUTURES AND OPTION CONTRACTS AND OPERATED AS AN UNREGISTERED FUTURES COMMISSION MERCHANT; CFTC Order Also Accepts Offers of Settlement from Three Former Employees and Finds that Richard Houge and Larry D. Peterson aided and abetted each of Farmer Co-op’s Violations and that John A. McPherson aided and abetted Farmer Co-op’s operation as an unregistered Futures Commission Merchant , 4376-00 |
