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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST JAMES DEN HARTOG OF WORTHINGTON, MINNESOTA, AND JAMES BAUMGARD, OF SPIRIT LAKE, IOWA, IN UNAUTHORIZED TRADING CASE; CFTC Finds that James Den Hartog Defrauded His Employer by Engaging in Unauthorized Trading and that James Baumgard, an Account Executive, is Also Liable in Connection with Den Hartog’s Trading , 4375-00 |
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CFTC ISSUES FINAL RULE EXEMPTING CERTAIN COMMODITY TRADING ADVISORS FROM REGISTRATION; New Rule Eliminates Registration Requirement For Commodity Trading Advisors That Distribute Standardized Commodity Trading Advice Through Periodicals, The Internet, and Similar Media , 4374-00 |
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CFTC Approves MONEP Exchange's Futures Contracts Based on the Dow Jones STOXX 50 Index and the Dow Jones EURO STOXX 50 Index to be Offered or Sold in the United States , 4373-00 |
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<div align="left"> CFTC Permits Use of Electronic Signatures by Customers of FCMs, Clients of CTAs and Commodity Pool Participants, , 4372-00 |
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<div align="left"> Commodity Futures Trading Commission Proposes Revisions to Rule 4.7, , 4371-00 |
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<div align="left"> Commodity Futures Trading Commission Proposes Revisions to Rule 4.5, , 4370-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CURRENCY TRADING SYSTEMS, JOYCE ROEDER, GLENN CYBULSKI, AND MICHAEL STEWART CHARGING FRAUD IN SOLICITING STUDENTS TO ATTEND SEMINARS TO LEARN AND PURCHASE A COMMODITY TRADING SYSTEM , 4369-00 |
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CFTC FILES A FRAUD ACTION AGAINST DAVID M. MOBLEY, SR., MARICOPA INTERNATIONAL INVESTMENT CORPORATION, ENSIGN TRADING CORPORATION, AND OTHERS AND A PROPOSED CONSENT ORDER OF PRELIMINARY INJUNCTION AND STATUTORY RESTRAINING ORDER; CFTC Complaint Alleges Defendants Carried Out A Multi-Million Dollar Fraud On Investors In Funds Managed By Mobley and Entities He Owned And Controlled; Defendants’ Alleged Fraudulent Scheme Included The Concealment of Losses Incurring From Trading of Commodity Futures And Options On Behalf Of A Commodity Pool , 4368-00 |
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<div align="left"> CFTC Transmits Regulatory Changes to Congress, , 4367-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST FORMER CERES TRADING GROUP BRANCH MANAGER DARRYL M. OSLER CHARGING THAT HE COMMITTED COMMODITY FRAUD; CFTC Alleges that Osler, of Delray Beach, Florida, Instructed Brokers Under His Supervision to Make False and Misleading Statements to Customers in Order to Convince Them to Open Accounts and to Place Trades , 4366-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEXUS FINANCIAL GROUP, INC., MARK LEE SINGER AND DAVID ALAN LUGER IN CONNECTION WITH THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Order Finds that Lexus, Singer, and Luger Committed Fraud in Soliciting Customers to Trade Options on Commodity Futures Contracts, Revokes Their Registrations, and Prohibits Them from Trading; Requires Singer and Luger to Pay $6.8 Million in Restitution To Defrauded Customers , 4365-00 |
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CALIFORNIA FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND RESTITUTION AGAINST MARK E. CHULIK IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; CFTC Files And Settles Related Statutory Disqualification Proceeding and Revokes Chulik’s Registration As a Commodity Trading Advisor , 4364-00 |
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CFTC FINDS CAPITAL INSIGHT BROKERAGE, INC. STATUTORILY DISQUALIFIED FROM REGISTRATION AND ISSUES ORDER ACCEPTING OFFER OF SETTLEMENT AND REVOKING CAPITAL INSIGHT’S REGISTRATION , 4363-00 |
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<div align="left"> Commission Approves Cantor Financial Futures Exchange Block Trading Proposal, , 4362-00 |
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SELLERS OF COMMODITY TRADING COURSE PAY $185,000 IN RESTITUTION AND PENALTIES AND ACCEPT INDUSTRY BAN UNDER CONSENT ORDER ISSUED BY MINNESOTA COURT; CFTC Had Charged Pelton Street Publishing, Inc. and Roger Martin Hoy with Fraudulent Sales Practices , 4361-00 |
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CFTC FILES AND SETTLES ACTION AGAINST SOGEMIN METALS INC. IN CONNECTION WITH A FRAUDULENT COMMISSION ARRANGEMENT AND KICKBACK SCHEME; CFTC Order Finds that Sogemin Metals Inc. Defrauded Two Chilean Metals Firms and Orders, Among Other Sanctions, Payment of a $500,000 Civil Monetary Penalty , 4360-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF DUNHILL FINANCIAL GROUP, INC. AND MARK HUTCHERSON IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Finds that Dunhill and Hutcherson Committed Fraud in Soliciting Customers to Trade Options on Commodity Futures Contracts and Failed to Supervise, and Revokes Their Registrations and Prohibits Them from Trading, among other Sanctions , 4359-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEON LEVITIS, ILYA LEVITIS, AND PAUL MANFRE IN CONNECTION WITH THE FRAUDULENT SALE OF ILLEGAL FOREIGN CURRENCY FUTURES CONTRACTS; Order Finds That Leon Levitis, Ilya Levitis, and Paul Manfre Fraudulently Solicited Customers To Enter Into Illegal Foreign Currency Futures Contracts And That Leon Levitis and Ilya Levitis Also Made and Issued False Reports, Bucketed Customer Orders, and Converted and Commingled Customer Funds , 4358-00 |
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FLORIDA FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST GLENN R. TAUBMAN IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions and a Two-Year Registration Ban , 4357-00 |
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VIRGINIA COURT ENTERS PERMANENT INJUNCTION AND RESTITUTION ORDER IN CFTC INJUNCTIVE ACTION AGAINST PETER BERZINS CHARGING COMMODITY POOL FRAUD; Court Permanently Bars Berzins From Trading, Seeking Registration Or Acting In Any Capacity Requiring Registration With The CFTC and Requires Him to Pay in Excess of $1 Million in Restitution, , 4356-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS FROM FIRST OPTIONS OF CHICAGO, INC. IN TWO ENFORCEMENT ACTIONS, AND ORDERS MORE THAN $200,000 IN MONETARY SANCTIONS; In One Action, CFTC Finds That First Options of Chicago Is Liable For Violations Of, And Failed To Diligently Supervise its Guaranteed Introducing Broker; In The Second Action, CFTC Finds Recordkeeping Violations , 4355-00 |
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INDIANA FEDERAL COURT ENTERS JUDGMENT AGAINST MARKET CAPITAL GROWTH, INC.; CARMEN FIELD; AND MONA SMITH AND ORDERS RESTITUTION OF OVER $1.2 MILLION TO BE PAID TO DEFRAUDED INVESTORS IN COMMODITY POOL FRAUD CASE; Court Also Enters Consent Orders Of Permanent Injunction Against Steven D. Hudkins, Bart BeMiller and Robert J. Riethman and Orders Hudkins and BeMiller To Pay Restitution Of Over $600,000 , 4354-00 |
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<p align="left">CFTC Reports all U.S. Futures Exchanges Scheduled to Open Today Have Done so and are Operating Normally, , 4353-00 |
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CFTC ISSUES ORDER ACCEPTING OFFERS OF SETTLEMENT FROM FRANK BARBARINO AND FRANK D'AMATO, FINDING THAT BARBARINO AND D’AMATO ARE SUBJECT TO STATUTORY DISQUALIFICATION AND RESTRICTING THEIR REGISTRATIONS AS FLOOR BROKERS AT THE NYMEX , 4352-99 |
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Florida District Court Orders $2.29 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud , 4351-99 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARL DEAN DIXON, CHARGING THAT HE COMMITTED COMMODITY FRAUD AND FAILED TO REGISTER AS A COMMODITY TRADING ADVISOR; CFTC Alleges that Dixon Made Misrepresentations and Deceptive Statements and Provided False Reports in Connection With His Fraudulent Solicitation of, and Advice to, Students of His Futures Trading Course , 4350-99 |
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CFTC FILES AND SETTLES ACTION AGAINST GEORGE W. VELISSARIS FOR COMMODITY POOL FRAUD; CFTC Finds that Velissaris Defrauded Investors by Misappropriating Commodity Pool Funds and Misrepresenting the Profitability of the Commodity Pools, and Orders Restitution to Defrauded Investors, Among Other Sanctions , 4349-99 |
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CFTC APPROVES MONTREAL EXCHANGE'S FUTURES CONTRACT BASED ON THE S&P/TSE 60 STOCK INDEX FOR OFFER AND SALE IN THE UNITED STATES , 4348-99 |
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FLORIDA FEDERAL COURT GRANTS FINAL JUDGMENT BY DEFAULT AGAINST HARTFORD FINANCIAL GROUP, INC.; KERI L. STEWART; AND JOSEPH J. MARCHIANO IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions And Requires Defendants To Pay Civil Monetary Penalties , 4347-99 |
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CFTC Proposes to Exempt Certain Commodity Trading Advisors from Registration , 4346-99 |
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CFTC Agricultural Advisory Committee to Hold Meeting , 4345-99 |
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CFTC Revamps Agricultural Trade Option Rules , 4344-99 |
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CFTC Announces Roundtable on Technology Issues , 4343-99 |
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CFTC Announces Roundtable to Discuss Regulation of Exchange-Traded Derivatives , 4342-99 |
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CFTC ACCEPTS SETTLEMENT OFFER FROM EMMETT J. WHEALAN IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Whealan’s Registration, Prohibits Him From Trading For Five Years, And Imposes A $125,000 Civil Monetary Penalty, Among Other Sanctions , 4341-99 |
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Court of Appeals for the Second Court Issues a Decision in Guttman v. CFTC, No. 98-4178, (2d Cir.), , 4340-99 |
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CFTC Approves Actions to Advance Regulatory Reform , 4339-99 |
