01/14/2003
NEW YORK FOREIGN CURRENCY FIRM CHARGED WITH FRAUDULENTLY SOLICITING RETAIL CUSTOMERS OVER THE INTERNET TO INVEST IN ILLEGAL, OFF-EXCHANGE FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Charges Rouslan Tambiev and Tamb International, Inc., Both Located in Queens, New York, With Fraud
01/07/2003
CFTC REVOKES MICHIGAN COMMODITY TRADING ADVISOR'S REGISTRATIONS
01/07/2003
CFTC SETTLES ACTION AGAINST HEDGE FUND AND SUSPENDS ITS REGISTRATIONS; Beacon Hill Asset Management, LLC Agrees to Suspension of Registrations
01/06/2003
CFTC SETTLES ENFORCEMENT ACTION AGAINST FLORIDA FIRM AND ITS OWNER; FIRM USED FRAUDULENT SCHEME TO SOLICIT OVER $400,000 FROM UNSOPHISTICATED INVESTORS; $K's Forex International, Inc., a Florida Firm d/b/a SK's Forex International, Inc., and Elizabeth Miskus Kemp, Found to Have Operated Illegal Foreign Currency (FOREX) Futures Trading Firm and to Have Misappropriated Customer Funds
12/30/2002
CFTC CHARGES CHICAGO FUTURES FIRM AND ITS PRESIDENT WITH FAILURE TO SUPERVISE; Robbins Futures, Inc. and Joel Robbins Ignored Signs of Ponzi Scheme
12/24/2002
CFTC SUES LAS VEGAS MAN FOR FRAUDULENTLY PROMOTING HIS COMMODITY TRADING METHOD; CFTC Alleges Charles Cox Made False Claims Concerning Profits Generated by His Commodity Trading Method
12/23/2002
CFTC SETTLES COMMODITY FRAUD ACTION AGAINST MARYLAND MAN AND FIRM; District Court Orders Defendants Peter Scott and Rothlin & Windsor Capital Management, Inc. to Pay $13.9 Million in Restitution and Civil Monetary Penalties
12/12/2002
COMMODITY FUTURES TRADER CHARGED WITH $1.5 MILLION FRAUD; U.S. GOVERNMENT AND UTAH ATTORNEY GENERAL ALLEGE FRAUD AND THEFT BY DECEPTION; Federal Court Freezes Assets and Bars the Destruction of Books and Records
12/12/2002
CFTC FINDS COMEX FLOOR BROKERS HENRY CHANDLER AND ERNEST PENNY COMMITTED FRAUD IN EXECUTING GOLD OPTIONS TRADES, AND FIVE OTHER FLOOR BROKERS ENGAGED IN NONCOMPETITIVE TRADING, AMONG OTHER VIOLATIONS OF THE FEDERAL COMMODITIES LAWS; CFTC Accepts Offers of Settlement from Henry Chandler, Robert Ferraioli, Michael Hammer, Ernest Penny, Tacho Sandoval, William Wosnack, and Stephen Seelenfreund
11/07/2002
CFTC SUES IDAHO MAN FOR FRAUDULENTLY PROMOTING HIS COMMODITY TRADING SYSTEM; CFTC Alleges John Stenberg Made False Claims Concerning Profits Generated by His Commodity Trading System