|
|
Phyllis Cela Receives Presidential Rank Award , 4338-99 |
|
|
FLORIDA COURT ENTERS ORDER OF DEFAULT AND PERMANENT INJUNCTION AGAINST EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD.; TORTOLA CORPORATION COMPANY, LTD.; INTERNATIONAL INVESTMENT GROUP, LTD.; AND RICHARD TICHY IN CFTC ENFORCEMENT ACTION CHARGING COMMODITY POOL FRAUD; Order Requires Defendants to Pay in Excess of $10 Million in Restitution and Civil Monetary Penalties , 4337-99 |
|
|
CFTC FILES CIVIL ENFORCEMENT ACTION AND OBTAINS RESTRAINING ORDER AGAINST FRED MONTE, JEANNE H. MONTE, AND COMP TECH LTD. INC., ALL OF BOCA RATON, FLORIDA, IN CONNECTION WITH THE ALLEGEDLY FRAUDULENT SALE OF A TRADING SYSTEM FOR FOREIGN CURRENCY FUTURES CONTRACTS , 4336-99 |
|
|
CFTC FILES CIVIL INJUNCTIVE COMPLAINT IN FEDERAL COURT IN LOS ANGELES AGAINST S. JAY GOLDINGER AND CAPITAL INSIGHT BROKERAGE, INC., CHARGING A FRAUDULENT TRADE ALLOCATION SCHEME; DEFENDANTS AGREE TO ENTRY OF PERMANENT INJUNCTION AND $6 MILLION DISGORGEMENT ORDER , 4335-99 |
|
|
CFTC Notifies the Coffee, Sugar & Cocoa Exchange of Results of a Rule Enforcement Review , 4334-99 |
|
|
CFTC Staff Reports That U.S. Futures Markets Remain Global Competitors , 4333-99 |
|
|
CFTC ACCEPTS SETTLEMENT OFFERS OF TODD ALAN THOMAS AND WELLINGTON FINANCIAL GROUP, INC. IN CONNECTION WITH THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Order Accepting Settlement Offers Finds That Thomas and Wellington Committed Fraud In Soliciting Customers To Trade Commodity Future Options, Revokes Their Registrations, and Prohibits Them From Trading; Thomas Is Required to Pay $1.9 Million in Restitution to Defrauded Customers , 4332-99 |
|
|
CFTC WINS CASE AGAINST WEB OF FLORIDA FIRMS AND THEIR PRINCIPALS ENGAGED IN FRAUDULENT TELEMARKETING OF ILLEGAL FUTURES CONTRACTS (MIDLAND RARE COIN EXCHANGE, INC., ROBERT J. MITCHELL, TERRY A. SANDS, AND EIGHT OTHER DEFENDANTS); Federal District Court Rules that CFTC Has Jurisdiction Over Defendants’ Sale of Highly-Leveraged Precious Metal Contracts; Orders Florida Defendants to Pay Restitution Totaling Over $12.4 Million to Defrauded Investors Nationwide , 4331-99 |
|
|
CFTC Announces the Appointment of Charles J. Sgro as Counsel for the Eastern Regional Office (New York) , 4330-99 |
|
|
WISCONSIN FEDERAL COURT ENTERS CONSENT ORDER OF RESTITUTION AGAINST JAMES F. BONNEY OF PLOVER, WISCONSIN, IN COMMODITY POOL FRAUD CASE FILED IN 1998; Court Orders Bonney to Pay Over $300,000 in Restitution to Defrauded Customers , 4329-99 |
|
|
COURT ORDERS AYM FINANCIAL CORPORATION AND ITS TWO PRINCIPALS, THOMAS M. PALEY AND ADAM S. JUECHTER, TO PAY RESTITUTION AND DISGORGEMENT TO SETTLE SUIT CHARGING FRAUDULENT SALE OF FOREIGN CURRENCY FUTURES CONTRACTS; Permanent Injunction Also Ordered Against Third Defendant, Marc Kronish , 4328-99 |
|
|
CFTC FILES COMPLAINT IN HAWAII FEDERAL COURT AGAINST DAVID T. MARANTETTE, III AND TROUBADOUR, INC., CHARGING FRAUD IN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; Federal Court Enters a Consent Order of Preliminary Injunction Prohibiting Marantette and Troubadour from Engaging In Fraudulent Activities, Barring the Destruction of Documents, and Freezing the Defendants' Assets , 4327-99 |
|
|
CFTC Announces Appointment of John C. Lawton as Acting Director of the Division of Trading and Markets , 4326-99 |
|
|
CFTC Announces the Appointment of C. Robert Paul as General Counsel , 4325-99 |
|
|
CFTC Notifies the Chicago Mercantile Exchange of its Results of a Rule Enforcement Review , 4324-99 |
|
|
CFTC ACCEPTS SETTLEMENT OFFER OF SOUTHERN THUMB CO-OP, INC. ARISING FROM THE MARKETING OF ILLEGAL OFF-EXCHANGE AGRICULTURAL OPTIONS; CFTC Order Accepting Settlement Offer Finds Fraud In The Solicitation of Customers To Enter Into Off-Exchange Agricultural Options , 4323-99 |
|
|
CFTC Seeks Public Comment on the Cantor Financial Futures Exchange's Proposal to Establish Block Trading Procedures , 4322-99 |
|
|
Rule Enforcement Review of National Futures Association's Disclosure Document Review Program for CPOs and CTAs , 4321-99 |
|
|
<p align="left">CFTC FILES COMPLAINT IN ILLINOIS FEDERAL COURT AGAINST CA-NI INDUSTRIES, LTD. AND NICHOLAS J. NICKOLAOU, CHARGING FRAUD IN SOLICITING CUSTOMERS FOR A COMMODITY TRADING PROGRAM AND MANAGED ACCOUNTS; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties, , 4320-99 |
|
|
United States District Court for the Northern District of Illinois Issues Decision in Commodity Trend Service, Inc., v. Commodity Futures Trading Commission , 4319-99 |
|
|
CFTC Announces Release of 1999 Report on Exchange-Traded Derivatives in Developing Capital Markets , 4318-99 |
|
|
CFTC FILES ENFORCEMENT ACTION CHARGING THAT FLOOR BROKER CONSTANTINE MITSOPOULOS COMMITTED FRAUD WHILE HANDLING CUSTOMER ORDERS; The CFTC’s Action Further Alleges That Mitsopoulos, Margaret Dull, Lisa Budicak, and Richard Marisie Violated Order-Taking and Recordkeeping Requirements In Preparing Customer Orders And That Mitsopoulos Failed to Supervise Diligently Phone Clerks Who Worked For Him , 4317-99 |
|
|
CFTC Chairman Names Personal Staff , 4315-99 |
|
|
CFTC Expands the Scope of Relief of the Rule 30.10 Order Issued to SIMEX to Include Transactions Entered Into on or Subject to the Rules of EUREX , 4313-99 |
|
|
CFTC FILES CIVIL INJUNCTIVE ENFORCEMENT AGAINST DENVER-BASED CLAIRMONT CAPITAL CORP., AND ITS PRINCIPALS, GEOFFREY L. MANN AND CHARLES W. TRENCH, CHARGING THEM WITH FRAUD AND SELLING ILLEGAL FOREIGN CURRENCY OPTIONS; CFTC Action Charges That The Defendants Made False Representations Regarding Potential Profits and Risks; , 4314-99 |
|
|
CFTC OBTAINS ASSET FREEZE AND APPOINTMENT OF A RECEIVER IN CIVIL INJUNCTIVE ACTION FILED AGAINST PRINCETON GLOBAL MANAGEMENT LTD., PRINCETON ECONOMICS INTERNATIONAL LTD., AND MARTIN A. ARMSTRONG; CFTC Complaint Alleges Fraud and Failure to Register Against Commodity Pool Operators and Commodity Trading Advisors , 4312-99 |
|
|
Tennessee Court Enters Consent Order of Permanent Injunction Against Richard G. Belz, Andrew E. Cafferky and Related Companies of Knoxville, Tennessee, in CFTC Enforcement Action Charging Commodity Pool Fraud; Order Requires Defendants to Disgorge $596,000, Plus Post-Judgment Interest, to Defrauded Investors Release , 4311-99 |
|
|
UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTIONS AGAINST DOUGLAS FOSTER AND ROBERT MONCUR IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF THREE COMMODITY POOLS; Court Permanently Bars Foster and Moncur From Seeking Registration Or Acting In Any Capacity Requiring Registration With the CFTC and Prohibits Them From Trading For Ten Years , 4310-99 |
|
|
Use of Electronic Signatures by Customers of FCMs, Clients of CTAs and Commodity Pool Participants, , 4309-99 |
|
|
VIRGINIA COURT ENTERS DOCUMENT AND ASSET FREEZE IN CFTC INJUNCTIVE ACTION AGAINST PETER BERZINS CHARGING COMMODITY POOL FRAUD; CFTC Alleges Berzins Defrauded Investors By Making Misrepresentations While Soliciting Funds And Operating a Commodity Pool , 4308-99 |
|
|
CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARGILL INC., CHARGING THAT CARGILL OFFERED TO ENTER AND ENTERED INTO ILLEGAL AGRICULTURAL OPTION CONTRACTS; CFTC Alleges that Cargill’s Premium Offer Contract Violates the Commodity Exchange Act and CFTC Regulations , 4307-99 |
|
|
Commodity Futures Trading Commission Proposes Revisions to Agricultural Trade Option Rules , 4306-99 |
|
|
CFTC ACCEPTS SETTLEMENT OFFER FROM MICHAEL SINGER IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Singer’s Registration, Prohibits Him From Trading For Five Years, and Imposes a $75,000 Civil Monetary Penalty, Among Other Sanctions , 4305-99 |
|
|
CFTC Proposes Amendments to Its Rules Governing the Offer and Sale of Foreign Futures and Options Contracts to United States Customers , 4304-99 |
|
|
CFTC Seeks Public Comment on the Petition for Exemptive Relief Submitted by the Chicago Board of Trade, the Chicago Mercantile Exchange and the New York Mercantile Exchange Pursuant to Section 4(c) of the Commodity Exchange Act , 4303-99 |
|
|
William J. Rainer Sworn in as CFTC Chairman , 4302-99 |
|
|
CFTC FILES ENFORCEMENT ACTION ALLEGING COMMODITY FUTURES AND OPTIONS FRAUD AGAINST MAX E. WALTERS; Walters Allegedly Defrauded Limited Partnership And Limited Partner Out Of $1 Million By Making Misrepresentations Concerning Profits And Misappropriating Funds , 4301-99 |
