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U.S. Commodity Futures Trading Commission and the Committee of European Securities Regulators Issue Communiqué Requesting Comments on a Common Work Program to Facilitate Trans-Atlantic Derivatives Business , 5064-05 |
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FEDERAL COURT ISSUES INTERIM ORDER BARRING FOREIGN FUND, AN INTERNET CURRENCY TRADING FIRM, FROM DEFRAUDING CUSTOMERS, AND ORDERS THE APPOINTMENT OF A TEMPORARY RECEIVER; Court’s Order Continues Asset Freeze against Foreign Fund and Bars the Sale of Illegal Futures Contracts , 5063-05 |
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CFTC Staff Permits FCMs and IBs to Rely Upon Certain CTAs to Perform Elements of their Customer Identification Programs , 5062-05 |
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CFTC Announces April 6, 2005 CPO and Commodity Pool Industry Roundtable , 5061-05 |
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CALIFORNIA FOREIGN CURRENCY FIRM AND ITS PRINCIPAL AGREE TO PAY OVER $1 MILLION IN SETTLEMENT OF U.S. GOVERNMENT FOREIGN CURRENCY FRAUD ACTION; In Settling Charges by the U.S. Commodity Futures Trading Commission, Defendants Ben Ouyang and Victco Financial Services, Inc. Consented to Release over $1 Million in Frozen Funds as Restitution to Defrauded Customers; Consent Order also Imposes Civil Penalty of $120,000 and a Permanent Injunction , 5060-05 |
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U.S. COMMODITY FUTURES TRADING COMMISSION APPLAUDS SUCCESSFUL PROSECUTION OF OPERATION WOODEN NICKEL DEFENDANT, Anthony Iannuzzi Convicted of Wire Fraud and Conspiracy to Commit Wire Fraud in "Points for Cash" Scheme, , 5059-05 |
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CFTC International Futures Regulators Meeting , 5058-05 |
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CFTC Staff Allows the Osaka Securities Exchange’s Futures Contract Based on the Russell/Nomura Prime Index to be Offered and Sold in the United States , 5057-05 |
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CFTC CHARGES FLORIDA MAN AND HIS COMPANY WITH VIOLATIONS BASED ON OFFER AND SALE OF FOREIGN CURRENCY OPTIONS; William David Seigler, Jr. and Sonoma Trading Corporation Allegedly Solicited Customers to Trade Foreign Currency (Forex) Options Contracts Via the Internet , 5056-05 |
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FEDERAL COURT FREEZES ASSETS OF FLORIDA FOREIGN CURRENCY FIRM AND OTHERS IN U.S. GOVERNMENT LAWSUIT CHARGING A COMMODITY OPTIONS SCAM; CFTC Charges Mercury Partners, Inc.; Mercury Financial Partners, Inc.; Mercury Management, L.C.; Bruce N. Crown; Andrew Bartos; and Michael Morgan with Fraud and Misappropriation of Customer Funds , 5055-05 |
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CFTC AND SEC ANNOUNCE $50 MILLION DISTRIBUTION TO FORMER CUSTOMERS OF PRINCETON ECONOMICS INTERNATIONAL, LTD., AND PRINCETON GLOBAL MANAGEMENT, LTD. , 5054-05 |
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FEDERAL COURT FREEZES ASSETS OF SEATTLE FIRM AND FOUR OTHER DEFENDANTS CHARGED WITH INTERNATIONAL SCHEME THAT DEFRAUDED U.S. CUSTOMERS OF OVER $8.5 MILLION; CFTC Alleged That Premium Income Corp., Its Principal, Gerald Rogers, And Others, Made False Claims About Profit and Risk, And Misappropriated Funds; Rogers is a Recent Ex-Convict Who Served Time for Similar Crimes , 5053-05 |
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MARYLAND FEDERAL COURT ENTERS CONSENT ORDER AGAINST FORMER RESIDENT ANDREW M. SILBERSTEIN IN COMMODITY POOL FRAUD ACTION; In Action Brought by U.S.Commodity Futures Trading Commission and the State of Maryland, Silberstein Is Ordered to Pay Total Sanctions of $560,000 , 5052-05 |
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Tennessee Foreign Currency Firm FxTrade Financial, LLC, and Jeffrey Mischler, its CEO and Managing Partner, Along with Seven Others, Agree to Order Finding that They Violated Court Orders Preventing Dissipation of Customer Funds , 5051-05 |
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U.S. COMMODITY FUTURES TRADING COMMISSION AND OTHER FEDERAL AUTHORITIES COOPERATE TO SHUT DOWN NEW YORK FOREIGN CURRENCY (FOREX) BOILER ROOM OPERATION; CFTC CHARGES RICHMOND GLOBAL ENTITIES OF STATEN ISLAND, NEW YORK AND FOUR INDIVIDUALS WITH DEFRAUDING 160 CUSTOMERS OF MILLIONS OF DOLLARS IN FOREX SCHEME; CFTC Assisted U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation , 5050-05 |
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The U.S. Commodity Futures Trading Commission and the Committee of European Securities Regulators Met to Facilitate Transatlantic Derivatives Business and to Appoint Task Force to Develop Further Efforts , 5049-05 |
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U.S. District Court Orders Florida Company World-Wide Currency, Corp., and Florida Residents Genady Spivack a.k.a. George Spivak and Ellison Kent Morris to Pay Over $6 Million in Civil Fraud Action , 5048-05 |
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CFTC AWARDED FINAL JUDGMENT IN FRAUD ACTION AGAINST INTERTRADE FOREX, INC. AND UK RESIDENT PRITESH PATEL; Defendants Ordered to Pay More Than $650,000 in Civil Penalty and Customer Restitution , 5047-05 |
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Federal Court Orders New Jersey Resident James I. Weiss and Clearview Capital Management, Inc. to Pay Sanctions of $800,000 in Foreign Currency Fraud Case , 5046-05 |
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CFTC LAUNCHES MULTIPLE FEDERAL ACTIONS AGAINST A TOTAL OF 15 ENERGY TRADERS, CHARGING THEM WITH FALSE REPORTING AND ATTEMPTED MANIPULATION; CFTC Names Former Traders of Enserco Energy, Inc., Mirant Americas Energy Marketing, Cinergy Corp., Duke Energy Trading and Marketing, CMS Field Services Inc., and Coral Energy Resources, LLP , 5045-05 |
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CFTC Proposes Permissible Investment Changes , 5044-05 |
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CFTC's Division of Clearing and Intermediary Oversight Provides Annual Report Guidance to Commodity Pool Operators , 5043-05 |
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CFTC SEEKS TO REVOKE REGISTRATIONS OF ILLINOIS RESIDENT LESLIE JEAN WNUKOWSKI; , 5042-05 |
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CFTC SETTLES LAWSUIT WITH AMERICAN ELECTRIC POWER COMPANY AND AEP ENERGY SERVICES, INC. FOR FALSE REPORTING AND ATTEMPTED MANIPULATION IN NATURAL GAS MARKETS; Federal Government Collects $81 Million: Defendants Ordered to Pay $30 Million Civil Monetary Penalty to CFTC; AEP Energy Services, Inc. to Pay an Additional $30 Million to U.S.Department of Justice to Avoid Federal Criminal Prosecution, and $21 Million to the Federal Energy Regulatory Commission , 5041-05 |
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CFTC FINDS THAT PRINCETON, NEW JERSEY, COMMODITY TRADING ADVISOR ROYAL BERG, INC. AND ITS PRINCIPAL, GARY BERG, VIOLATED DISCLOSURE OBLIGATIONS , 5040-05 |
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TEXAS FEDERAL COURT ORDERS DEFENDANTS RICHARD HALE AND ALLEGHENY GULF INVESTMENTS, INC. TO PAY $440,000 IN CIVIL PENALTIES FOR MISAPPROPRIATING CUSTOMER FUNDS; Defendants Also Prohibited From Handling Commodity Interest Accounts , 5039-05 |
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U.S. DISTRICT COURT ENJOINS SOUTH CAROLINA RESIDENT GEORGE HEFFERNAN FROM ENGAGING IN COMMODITIES FRAUD; FREEZES ASSETS; Order Arises From Complaint By CFTC Charging Heffernan, Also Known As "George W. Marshall," With Fraud for the Third Time in Four Years, , 5038-05 |
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FEDERAL COURT FREEZES ASSETS OF FLORIDA FIRM AND FIVE INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $6 MILLION; CFTC Alleges that United Investors Group, Inc., Former Director Andrew D. Ross, CEO Paul F. Plunkett, and Traders Greg P. Allotta, Jay M. Levy, and Michael H. Savitsky III, Made False Claims that Customers Would Make Large Profits with Little Risk , 5037-05 |
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CALIFORNIA FEDERAL JUDGE ORDERS ARREST OF JIAN ZHUANG, PRESIDENT OF LOS ANGELES-AREA FOREIGN CURRENCY FIRM EMERALD WORLDWIDE HOLDINGS, INC., IN LAWSUIT CHARGING A COMMODITIES SCAM; Zhuang Failed to Pay Money Sanctions Arising Out of Earlier Contempt Order in CFTC Case Charging Zhuang and Others With Defrauding More than 300 Customers of Over $5 Million , 5036-05 |
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CFTC's Global Markets Advisory Committee to Meet January 12 , 5035-05 |
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CFTC SETTLES CHARGES AGAINST FLORIDA TRADING FIRM AND TWO INDIVIDUALS RELATING TO ILLEGAL WASH TRADES; Hencorp Becstone Futures LC, Jorge Mattos, and Oscar Schaps Ordered to Pay Civil Penalties , 5034-05 |
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CALIFORNIA RESIDENTS PAULINO RENE DIAS, JR. AND VICTOR SMITH, ALONG WITH KRUTE CORPORATION, AGREE TO PAY $2.19 MILLION TO SETTLE COMMODITY POOL FRAUD ACTION; CFTC Imposes $240,000 in Civil Penalties Orders Customer Restitution of $1.95 Million , 5033-04 |
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FLORIDA FEDERAL COURT ORDER ENJOINS TWO FLORIDA BUSINESSES AND FOUR EMPLOYEES FROM VIOLATING FEDERAL COMMODITIES LAW; CFTC Charged Defendants Liberty Financial Trading Corp.; Liberty Real Assets Investment Corp.; Ted Romeo; Leslie Weiner; Nader Yazdani; and Randy Bursteinwith with Fraudulently Soliciting Customers to Trade Options on Futures Contracts , 5032-04 |
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CFTC Amends Large-Trader Reporting Rules , 5031-04 |
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CFTC CHARGES A NEBRASKA BANK, ITS BANK HOLDING COMPANY, AND AN INTRODUCING BROKER WITH FRAUD AND UNAUTHORIZED TRADING; CFTC Names Sherman County Management, Inc., Sherman County Bank, and PT Holdings as Additional Defendants in an Ongoing Case Alleging Commodity Fraud and Unauthorized Trading , 5030-04 |
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U.S. District Court Orders United Kingdom Corporation (E Net Speculation Ltd.) And Its Two Principals To Pay $50,000 In Civil Penalties For International Solicitation Of Off-Exchange Commodity Futures Through The World Wide Web , 5029-04 |
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Michael V. Dunn Sworn in as CFTC Commissioner , 5028-04 |
