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CFTC FILES AN ENFORCEMENT ACTION AGAINST AND ACCEPTS OFFER OF SETTLEMENT FROM WOLCOTT & LINCOLN L.L.C. AND DAVID GIBSON; CFTC Finds That Wolcott & Lincoln, An FCM, Improperly Handled Customer Money, Violated Recordkeeping Requirements, Filed False Reports and Failed To Supervise Diligently; Gibson, As Manager of Wolcott & Lincoln, Is Also Found Liable , 4300-99 |
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MICHIGAN FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST THOMAS LAMAR, OF WATERFORD, MICHIGAN, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF A COMMODITY POOL; Court Orders Lamar to Pay Over $2.8 Million In Restitution and Disgorgement to Defrauded Customers and Permanently Bars Him from the Commodity Industry , 4299-99 |
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New York Court Bars Oscar A. Klitin and Klitin Associates II, L.P. from the Futures Industry and Orders Klitin to Disgorge Misappropriated Investors' Funds In CFTC Enforcement Action; Injunction Stems from a 1997 CFTC Action Charging Fraud , 4298-99 |
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CFTC FILES COMPLAINT IN MINNESOTA FEDERAL COURT AGAINST COMMODITY TRADING ADVISOR, PELTON STREET PUBLISHING, INC., AND ITS PRINCIPAL, ROGER MARTIN HOY, CHARGING FRAUD IN SOLICITING CUSTOMERS FOR COMMODITY TRADING COURSE; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties , 4297-99 |
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CFTC Issues Proposed Rules Regarding Performance Data and Disclosure for CTAs , 4296-99 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF KEVIN JACKAM, MICHAEL THOMAS AND NEW MILLENIUM PROMOTIONS IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Finds That Jackam Committed Fraud In Soliciting Customers To Trade Options On Commodity Futures Contracts And Failed To Supervise, and That Thomas And New Millenium Failed To Supervise And Acted In An Unregistered Capacity While Operating An Introducing Broker , 4295-99 |
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CFTC FINDS THAT JAMES L. CONNELLY, A FLOOR BROKER AT THE CHICAGO MERCANTILE EXCHANGE, IS SUBJECT TO STATUTORY DISQUALIFICATION AND ISSUES CONSENT ORDER RESTRICTING CONNELLY'S REGISTRATION , 4294-99 |
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CFTC Notifies the Commodity Exchange, Inc. Division of the New York Mercantile Exchange of the Results of a Rule Enforcement Review , 4293-99 |
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Statement of I. Michael Greenberger, Director, Division of Trading and Markets , 4292-99 |
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Commodity Futures Trading Commission Issues Advisories and Delegation Order Regarding the Filing and Maintenance of Exchange Disciplinary or Access Denial Action Notices , 4291-99 |
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CFTC Proposes Sweeping Change to Its Approval Procedures for New Futures Contracts , 4290-99 |
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CFTC's Global Markets Advisory Committee to Meet on July 21, 1999 , 4289-99 |
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FLORIDA FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST MICHAEL INDIHAR, COMPUTER WAREHOUSE, INC. AND AUTOMATED TRADING SYSTEMS INC., IN CFTC ANTI-FRAUD ACTION FILED IN 1996; CFTC Alleged that the Defendants Cheated and Defrauded Florida Investors in a Commodity Pool, and Converted Customer Funds to Personal Use, Among Other Violations of Federal Commodity Law , 4288-99 |
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CFTC Issues Proposed Amendments to Its Contract Market Rule Review and Approval Procedures , 4287-99 |
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CFTC FILES AND SETTLES SIX-COUNT INJUNCTIVE ACTION AGAINST MORRIS J. BENUN, CHARGING THAT HE COMMITTED FRAUD AND CONVERTED FUNDS WHILE OPERATING TWO COMMODITY POOLS; Benun Ordered To Pay Over $1 Million In Restitution To Pool Participants and Is Permanently Barred From the Commodities Industry By Consent Permanent Injunction , 4286-99 |
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CFTC FILES CIVIL FRAUD COMPLAINT IN FLORIDA FEDERAL COURT AGAINST INTRODUCING BROKER R.J. FITZGERALD & CO., INC., RAYMOND AND LEIZA FITZGERALD, AL CORINGRATO, GREG BURNETT, AND CHUCK KOWALSKI; CFTC Action Charges that the Defendants Made False Representations and Engaged in Fraudulent Acts and Practices, Including Sales Solicitation Fraud and Account Churning , 4285-99 |
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Merrill Lynch International, Inc. and Merrill Lynch Pierce Fenner & Smith (Brokers & Dealers), Ltd. Pay $15 Million to Settle Charges of Aiding and Abetting Manipulation of the Copper Market, , 4284-99 |
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CFTC Files Complaint Against Kent C. Calhoun of Hunt, Texas, Alleging That He Committed Fraud in Using the CFTC's Name to Solicit Customers to Purchase His Commodity Trading Systems and Attend his Commodity Trading Seminars; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties , 4283-99 |
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CFTC Accepts Settlement Offer of Selwyn "Sy" Gaiber; CFTC Settlement Order Finds that Gaiber Acted as an Unregistered CTA and Failed to Deliver Disclosure Documents and to Disclose His Past Performance Record, , 4282-99 |
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CFTC Institutes Administrative Proceedings Against and Accepts Offer of Settlement from Ross R. Godres of Lafayette, Colorado; CFTC Finds that Godres Defrauded Investors By Concealing Losses Resulting From the Trading of Precious Metal Futures Contracts on Behalf of a Commodity Pool, and Orders Restitution to Defrauded Investors, Among Other Sanctions , 4281-99 |
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North Carolina Court Issues Preliminary Injunction in CFTC Action Charging Donald Trivette With Defrauding Investors and Misappropriating Investor Funds , 4280-99 |
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Thomas J. Erickson Sworn in as CFTC Commissioner , 4279-99 |
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georgia Court Orders Payment of Over $11.5 Million and Permanent Injunction In Default Order Against Estate of Donald B. Chancey, Southeastern Venture Partners Group, in Commodity Pool Fraud Case , 4278-99 |
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Commodity Futures Trading Commission Provides Guidance to Commission Registrants Regarding Contingency Planning for Y2K , 4277-99 |
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CFTC Amends Order Granting the Chicago Board of Trade a Dual Trading Exemption for the Treasury Bond Futures Contract on its Project A Electronic Trading System to Include the Project A Ten-Year Treasury Note Futures Contract, , 4276-99 |
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Commodity Futures Trading Commission Issues Advisory on Alternative Execution, or Block Trading, Procedures for the Futures Industry , 4275-99 |
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Commodity Futures Trading Commission Year 2000 Contingency Planning for Commission Registrants , 24-99 |
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CFTC Issues Order Regarding Access to Automated Boards of Trade , 4274-99 |
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CFTC Names David D. Spears Acting Chairman , 4273-99, |
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CFTC Cancels June 3rd Open Meeting on Access to Automated Boards of Trade , 4272-99 |
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New York Court Orders Defendants (New York Currency Exchange Corp., New York Currency Research Corp., and Michael T. Matejka) to Pay Over $8.1 Million in Civil Monetary Penalties and Orders Restitution of More Than $2.7 Million to Customers in CFTC Illegal Foreign Currency Futures Fraud Action; CFTC's 1998 Anti-Fraud Enforcement Action Alleged that the Defendants Cheated and Defrauded Customers Out of Over $3.5 Million , 4271-99 |
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Phyllis Cela Appointed Acting Director of Enforcement , 4270-99 |
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CFTC Reduces Rules on Contract Applications , 4268-99 |
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CFTC Adopts Amendments to Its Rules Governing Registration, Exemption and Disclosure by IBs, CPOs and CTAs Trading Foreign Futures and Option Contracts , 4267-99 |
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CFTC Files and Settles Action Against REFCO, Inc. for Order-Taking and Recordkeeping Violations and for Failing to Supervise; Company Ordered to Pay $7 Million, Including $1 Million To Fund An Industry Study, And to Cease And Desist From Further Violations, and to Conduct an Internal Review Concerning Refco's Compliance Policies and Procedures , 4269-99 |
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CFTC Issues Final Rules Amending Its Recordkeeping Requirements , 4266-99 |
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CFTC Obtains Preliminary Injunctions Against All Defendants, EuroPacific Equity & Capital Management, Ltd., Tortola Corporation Company, Ltd., International Investment Group, Ltd., David Michael Loyd, and Richard Tichy, in CFTC Enforcement Action Alleging Fraud , 4264-99 |
