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CFTC SETTLES RECORDKEEPING CHARGES AGAINST UNITED ENERGY, INC. AND DANA CHRISTOPHER BRAY RELATING TO TRADING IN NATURAL GAS FUTURES; United Energy, Inc. Also Settles Charges of Failure to Supervise Bray , 4953-04 |
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CFTC ORDERS PONZI SCHEME PARTICIPANTS WILLIAM ROGERS, MARIA TOCZYLOWSKI, AND HAROLD LUDWIG TO PAY MILLIONS; Two Former Officers of Republic New York Securities Corp. and Former Director of Princeton Global Management, Ltd., Ordered to Pay Over $14 Million in Restitution and Penalties , 4952-04 |
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CFTC's Agricultural Advisory Committee to Meet on Wednesday, July 21, 2004 , 4951-04 |
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CFTC Announces Resignation of Chairman James E. Newsome , 4950-04 |
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CFTC Proposes Amendments to Regulation 1.38 and to its Guidance on Execution of Transactions off the Centralized Market , 4949-04 |
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CFTC IMPOSES $7 MILLION CIVIL PENALTY ON DENVER-BASED ENERGY FIRM; Western Gas Resources, Inc. Charged With False Reporting and Attempted Manipulation in Violation of the Commodity Exchange Act , 4948-04 |
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CFTC SUES MINNEAPOLIS-BASED NRG ENERGY, INC., CHARGING NRG WITH FALSELY REPORTING NATURAL GAS TRADES , 4947-04 |
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FRAUD CHARGES BROUGHT AGAINST FLORIDA FOREIGN CURRENCY FIRMS AND EMPLOYEES; CFTC Alleges that Sterling Trading Group, Inc., Universal FX, Inc., and Employees Joseph Arsenault and Andrew Stern Defrauded Customers and Defendant Graystone Browne Financial, Inc. Charged with Offering Illegal Option Contracts , 4946-04 |
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FLORIDA BUSINESSES AND EMPLOYEES CHARGED WITH FRAUD; CFTC Alleges that Next Financial Services Unlimited, Inc., New World Trading, LLC, and Employees Aaron Ettinger and Robert LaRocca Fraudulently Solicited Customers to Trade Illegal, Off-Exchange Foreign Currency Option Contracts; Federal Court Enters Order Freezing Defendants' Assets , 4945-04 |
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SOUTH FLORIDA FOREIGN EXCHANGE TRADING FIRMS CHARGED WITH DEFRAUDING CUSTOMERS, COURT FREEZES DEFENDANTS' ASSETS; Worldwide Forex, Inc., Global Atlantic Management, Inc., and A Principal Allegedly Told Customers that the Possibility of War with Iraq Would Result in Significant Profits , 4944-04 |
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CFTC CHARGES FLORIDA OPTIONS FIRM FIRST AMERICAN INVESTMENT SERVICES, INC., WITH DEFRAUDING CUSTOMERS OF OVER $12 MILLION; First American President Steve Knowles and Employees Michael Savitsky, Adam Mills, Greg Allotta, and James Eulo Allegedly Lied When Pitching Commodity Options to Customers , 4943-04 |
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CFTC Seeks Public Comment on Petitions to Eliminate Federal Speculative Position Limits Applicable to Certain Agricultural Futures and Option Markets , 4942-04 |
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CALIFORNIA RESIDENTS ORDERED TO PAY MORE THAN $800,000 IN COMMODITY FRAUD ACTION; Defendants Paris DeLesseppes and John E. Lassen Ordered to Repay Over $333,000 to Investors and Pay Civil Monetary Penalties Totaling $480,000 , 4941-04 |
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FEDERAL COURT ORDERS SOUTHERN CALIFORNIA FOREIGN CURRENCY SALESMEN TO REPAY CUSTOMERS MORE THAN $870,000 , 4940-04 |
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CFTC CHARGES SANTA MONICA, CALIFORNIA, BUSINESSMAN & WEBSITE OPERATOR JAMES WEATHERFORD WITH FRAUD IN SOLICITING CUSTOMERS TO TRADE S&P 500 E-MINI FUTURES CONTRACTS , 4939-04 |
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CFTC CHARGES PANAMANIAN CORPORATION WITH SALE OF ILLEGAL OFF-EXCHANGE FOREIGN CURRENCY FUTURES CONTRACTS TO CUSTOMERS; CFTC Alleges that Axess Trade Co., Inc. Illegally Solicits Customers Through the Internet to Trade Foreign Currency Futures Contracts , 4938-04 |
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FEDERAL COURT ORDERS INTERNATIONAL FINANCIAL SERVICES AND OTHERS TO PAY MORE THAN $100 MILLION IN RESTITUTION AND PENALTIES IN FOREIGN CURRENCY FUTURES FRAUD ACTION; Federal Court Finds All Defendants Liable for Fraud and Illegal Sale of Foreign Currency Futures Contracts , 4937-04 |
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CFTC Seeks Comment on the Governance of Self-Regulatory Organizations , 4936-04 |
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CFTC Announces Resignation of Dr. Michael Gorham , 4935-04 |
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CFTC Staff Allows Offer & Sale in the U.S. of the Taiwan Futures Exchange's (TAIFEX's) Futures Contracts Based on the Taiwan Stock Exchange Stock Index (TAIEX) – the TAIEX Futures Contract and the Mini TAIEX Futures Contract , 4934-04 |
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CFTC Releases Rule Enforcement Review of Coffee, Sugar & Cocoa Exchange, Inc. , 4933-04 |
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CFTC FINDS THAT FLORIDA FIRM FIRST INVESTORS GROUP OF THE PALM BEACHES, INC. AND ITS EMPLOYEES COMMITTED FRAUD IN SOLICITING CUSTOMERS; Respondents William Scott Cordo and Mitchell Stephen Davis Ordered to pay $600,000 in Civil Penalties , 4932-04 |
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CFTC Extends Comment Period on How Self-Regulatory Exams of Futures Firms are Coordinated , 4931-04 |
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COURT ENTERS DEFAULT JUDGMENT AGAINST FLORIDA FOREIGN CURRENCY FIRM AND ITS OFFICERS GRANTING OVER $350,000 IN RESTITUTION TO CUSTOMERS IN 2003 CFTC ENFORCEMENT ACTION; Judgment Entered Against Defendants Bibas Levy Corp., Zacarias Bibas, and Hassan Sharam Stemming From CFTC Charges That They Made False Profit Claims and Misrepresented their Performance Record and the Risks of Foreign Currency Futures Trading , 4930-04 |
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JAPANESE FIRM CHARGED WITH PARTICIPATING IN FOREIGN CURRENCY SCAM THAT DEFRAUDED MORE THAN 300 CUSTOMERS OF OVER $5 MILLION; U.S. Commodity Futures Trading Commission Also Names Four Relief Defendants Who Received Ill-Gotten Gains , 4929-04 |
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CFTC NOTES THE ARRESTS OF SEVERAL INDIVIDUALS BY THE STATE OF FLORIDA IN AN ALLEGED FOREX INVESTMENT FRAUD; CFTC Filed a Federal Civil Case in 2002 Based On Same Underlying Facts , 4928-04 |
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CFTC Fines Swiss Company Barry Callebaut Sourcing AG for Executing Illegal Wash Trades on U.S. Markets , 4927-04 |
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CFTC Expands Clearing Designation for London Clearing House , 4926-04 |
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CFTC SETTLES CASE WITH FORMER ELECTRICITY TRADER FOR EXECUTING ILLEGAL WASH TRADES; Trader Agrees to Cooperate , 4925-04 |
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CFTC CHARGES COMMERCIAL HEDGE SERVICES, PRIME TRADING COMPANY, AND LAWRENCE JOSEPH VOLF -- ALL OF NEBRASKA -- WITH FRAUD; Introducing Broker and his Company Allegedly Made Unauthorized, Speculative Trades in Commodity Hedge Accounts that Caused Farmers $5 Million in Losses , 4924-04 |
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Commissioner Walter Lukken Announces Membership and Meeting Date of CFTC's Global Markets Advisory Committe , 4923-04 |
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CFTC Seeks Public Comment on Clearing Corporation Proposal to Clear Eurex Transactions , 4922-04 |
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CFTC CHARGES MARYLAND MAN AND HIS COMPANY WITH DEFRAUDING CUSTOMERS IN FOREX SCAM; Arthur John Keeffe, II and Calvary Currencies LLC Allegedly Fraudulently Solicited Over $400,000 from Investors to Trade Illegal, Off-Exchange Foreign Currency Futures Contracts , 4921-04 |
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ENRON SEEKS BANKRUPTCY COURT APPROVAL TO ENTER INTO PROPOSED SETTLEMENT WITH THE CFTC; Proposed Settlement Would Resolve CFTC Complaint Charging Enron With Manipulation of Natural Gas Prices in July 2001, and Other Violations , 4920-04 |
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CFTC and the Securities Exchange Board of India Sign Cooperation Arrangement , 4919-04 |
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CFTC CHARGES UNITED KINGDOM CORPORATION AND ITS TWO PRINCIPALS WITH SALE OF ILLEGAL OFF-EXCHANGE FUTURES CONTRACTS TO U.S. INVESTORS; CFTC Alleges that E Net Speculation Ltd., Patrice Cornaz, and Athos Socratous Illegally Solicit U.S. Investors Via the Internet to Trade Commodity Futures Contracts through a Foreign Website , 4918-04 |
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CFTC FILES AND SETTLES REGISTRATION CLAIM AGAINST JEFFREY ALLEN OF HOUSTON, TEXAS; CFTC Order Finds that Allen Failed to Register as a Commodity Trading Advisor , 4917-04 |
