02/11/2002
NEW YORK COMMODITY BROKER CHARGED WITH ILLEGAL TRADING AND VIOLATION OF A COMMISSION ORDER; CFTC Alleges Branch Manager Patrick Ligammari Engaged in Non-Competitive Trading To Facilitate the Transfer of Over $300,000 Between Two Foreign Accounts
02/04/2002
CFTC SETTLES CASE AGAINST CHICAGO FIRM AND ITS MANAGING DIRECTOR; CFTC finds that Excellent USA and John Gallwas Failed to Supervise the Handling of Foreign Omnibus Accounts; CFTC Revokes Registration of Excellent USA as a Result of the Criminal Conviction of One of its Principals
01/15/2002
INTERNET TRADING SYSTEM PROMOTER CHARGED WITH COMMODITY FRAUD; CFTC Alleges Michael Radcliffe Made False Claims Concerning Profits Generated By His Commodity Trading System
12/20/2001
OHIO COMMODITY TRADER SETTLES POOL FRAUD ACTION; Consent Order with Government Regulator Finds that Defendant Jeffrey T. Bailey Committed Fraud By Diverting Investor Funds For His Own Use and Permanently Bars Him from Futures and Options Trading
12/17/2001
REPUBLIC NEW YORK SECURITIES CORPORATION PAYS $5 MILLION CIVIL MONETARY PENALTY FOR MISLEADING INVESTORS IN COMMODITY FRAUD; CFTC Files and Settles Action Against Republic for Its Role in a Ponzi Scheme That Defrauded Investors World-Wide and Resulted in Losses of Over $700 Million
11/20/2001
Commodity Trading Advisor Settles Government Fraud Charges; CFTC Orders Nicholas J. Nickolaou to Pay Restitution and Penalties For Fraudulently Soliciting the Public to Buy His "Wisdom of the Ages" Trading System,
11/19/2001
CFTC SEEKS TO SUSPEND OR RESTRICT REGISTRATION OF MIDLAND EURO, INC. OF CALIFORNIA; Midland Euro's Membership With the National Futures Association Was Recently Suspended
11/06/2001
CFTC SETTLES FRAUD CASE AGAINST COMMODITY TRADING ADVISORS; CFTC Finds that Currency Trading Systems, its President, Joyce Roeder, and Others Fraudulently Solicited the Public to Attend Commodity Trading Seminars; CFTC Imposes Permanent Trading Ban on Roeder and Company and Orders Payment of Restitution and Penalties
10/31/2001
New York Trader Sued for Defrauding Employer; CFTC Files and Settles Action Against Robert Ryan and Permanently Bans Him from Futures Trading and Fines Him $40,000
10/29/2001
Two Texas Men Sued for Defrauding Former Employer; CFTC Charges Clay Krhovjak and Paul Cochran in Fraudulent Allocation Scheme
