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CFTC Files Four-Count Complaint And Obtains Preliminary Injunction Against Thomas J. Deniz of Modesto, California , #3928-96 |
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Advisory: Responsibilities of Futures Commission Merchants and Relevant Depositories with Respect to Third Party Custodial Accounts , #37-96 |
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Florida Court Enters CFTC Settlement Order with Concorde Trading Group , #3927-96 |
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CFTC Approves Ammended Stock Index Futures Price Limits , #3926-96 |
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CFTC Files Nine-Count Complaint And Obtains Preliminary Injunction Against Edward W. Schroeder, The Edward W. Schroeder Living Trust, And Andre D. Fite of Santa Monica and Los Angeles, California , #3925-96 |
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Florida District Court Issues Orders of Disgorgement Against Rev. Gary A. Smith & Jay Blevins, Defendants in CFTC Anti-Fraud Action , #3924-96 |
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Illinois Court Issues Permanent Injunction in CFTC Anti-fraud Action Against Zebedee McLaurin, V., of Chicago Requiring Restitution of Customer Funds, Among Other Sanctions , #3923-96 |
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CFTC Order Imposes $600,000 Civil Penalty Against Fenchurch Capital Management Inc. of Chicago, In Connection with Market Manipulation and Cornering , #3922-96 Full text of the Commission's Action |
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CFTC Charges Oster Communications, Inc. d/b/a Future Source With Committing Fraud and With Registration Violations in Connection With Sale and Marketing of JDI Limited's "Micro-Trading System" , #3921-96 Full text of the Commission's Action |
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CFTC Will Hold a Day-Long Interactive Symposium on Internal Controls and Risk Management Practices on June 24th , #3920-96 |
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The Execution By Brazil Regulatory Agency Of The Declaration of Cooperation and Supervision of International Futures Exchanges and Clearing Organizations , #3819-96 |
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CFTC Statement Concerning the Copper Market , #3918 |
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New York Court Refuses to Enjoin CFTC Investigation In Response to a Motion Filed by Avxo Financial Corporation # , 3917-96 |
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CFTC Judge Finds that Solomon Mayer Committed Fraud by Bucketing Customer Orders # , 3916-96 |
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CFTC Judge Orders Penalties Against Michael Staryk # , 3915-96 |
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Texas Court Issues Preliminary Injunctions Against Christopher C. Schafer, A.R.S. Financial Services, Peter J. Urbani, and Alchemy Financial Group, All Charged In CFTC Enforcement Action # , 3914-96 |
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Advisory: Electronic Filing of Financial Reports , #28-96 |
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Advisory Committee on CFTC-State Cooperation , #3913-96 |
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Washington State Commodity Pool Operator, Ken Willey, Held in Contempt of Court for Refusing to Reveal Location of Commodity Pool Assets # , 3912-96 |
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CFTC's Division of Economic Analysis Issues Satements of Policy and Guidance Relating to "Hedge-to-Arrive" Contracts , #3911-96 |
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Advisory Concerning Commission Rule1.33(b) , #22-96 |
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CFTC'S Agricultural Advisory Committee to Meet on May 8, 1996 , #3910-96 |
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Colorado Court Issues Preliminary Injunctions Against Brian Prendergast and Joel de Angelis in CFTC Anti-fraud Action Against Prism Financial Corporation of Englewood, Colorado # , 3909-96 |
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CFTC Approves Final Early Warning Reporting Requirements , #3907-96 |
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CFTC Releases its Semiannual Futures Commission Merchant (FCM) , #3908-96 |
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CFTC Files Statutory Disqualification Action Against Patrick D. Kelly, and Simultaneously Accepts His Settlement Offer, Which Includes a Two-Year Period of Conditioned Registration # , 3906-96 |
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Foreign Instrument Approvals & Exemptions , #1-91 |
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CFTC files administrative action against three CME floor brokers, alleging fraudulent trade practice abuse in the live cattle futures pit # , 3905-96 |
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CFTC files enforcement action charging David and Mark Sitzmann and Sitzmann Commodities Inc. with fraudulent trading practices in the CME'slive cattle and hog futures contract , #3904-96 |
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CFTC Approves Record Number of Contracts , #3903-96 |
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CFTC files civil anti-fraud action against a Washington state commodity pool operator, Ken Willey # , 3902-96 |
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Advisory: Offshore commodity pools relief for certain regustered CPOs from rules 4.21, 4.22, and 4.23(a)(10) and (a)(11) and from the location of books and records requirement of rule 4.23 , #18-96 |
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Rule Enforcement Review of Exchange Programs for Monitoring Corrections to Time and Sales Records , #3901-96 |
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Florida court issues ex parte asset freeze in CFTC anti-fraud action against Michael Indihar, Robert Hoffman, Computer Warehouse Inc., and Automated Trading Systems -- all of Florida # , 3900-96 |
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Forida Court Issues Permanent Injunction Against Keith Dominick and Main Street Investment Group in 1994 CFTC Anti-fraud Action , #3899-96 |
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CFTC Amends Rule 30.3 to Eliminate the Requirement of a Specific Order for Foreign Commodity Options , #15-96 |
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CFTC Files Statutory Disqualification Action Against CBOT Floor Broker, Edgar Clifford Sharp, III, and Simultaneously Accepts His Settlement Offer, Which Includes a Two-Year Period of Conditioned Registration , #3897-96 |
