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CFTC Proposes Rule Modernization for Customer Fund Investments , 4806-03 |
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FEDERAL COURT ORDERS LOS ANGELES FOREIGN CURRENCY FIRMS AND THEIR PRESIDENT TO PAY $759,956 IN CFTC ACTION; Rego Gainer Financial, Inc., Rego Gainer, Inc. and Kwok Lun Lam Ordered to Pay Restitution and Civil Penalties , 4805-03 |
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CFTC CHARGES FUTURES BROKER AND ITS CHAIRMAN WITH FAILURE TO RETAIN RECORDS; CFTC Alleges Professional Market Brokerage, Inc. and Huaya Lu Tung Abandoned Required Records , 4804-03 |
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FLORIDA FOREIGN CURRENCY (FOREX) FIRM CHARGED WITH FRAUD FOR INTERNET SWINDLE; CFTC Files Action Against Giovanni Fleury Investments, Inc. of Sunrise, Florida, and Owner Giovanni Fleury , 4803-03 |
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CFTC Releases Rule Enforcement Review of the Market Surveillance Program at the New York Mercantile Exchange , 4800-03 |
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CFTC FINDS COFFEE TRADER DEIRDRE ANDERSON CONDUCTED FRAUDULENT TRADING SCHEME AND MANAGERS FAILED TO PROPERLY SUPERVISE HER; Anderson and George Lamborn of New York and Richard Lani of New Jersey Are Sanctioned , 4797-03 |
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CFTC SETTLES FOREIGN CURRENCY FRAUD CHARGES WITH TEXAS RESIDENT AND HIS TWO COMPANIES; Court Orders Defendants John A. Wheeler, Long Point Investments, LLC and CDM Technologies, LLC to Pay $23 Million to Investors , 4796-03 |
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CFTC SETTLES FRAUD ACTION WITH CALIFORNIA RESIDENT CHRISTIAN WEBER; Federal Court Orders Huntington Beach, California, Man to Repay Over $2 Million to Customers from Australia, New Zealand, and the United States , 4795-03 |
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CFTC FINDS THAT MISSISSIPPI RESIDENT Michael Gene Pate AND HIS FOREIGN CURRENCY FIRM, American FX, LLC, SOLICITED CUSTOMERS FRAUDULENTLY , 4794-03 |
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CFTC SETTLES OPTIONS FRAUD CHARGES WITH CALIFORNIA DEFENDANT; Beverly Hills Resident Ronald G. Scott Permanently Barred From Trading Commodity Futures and Options; Court Orders Scott to Make Refunds to Customers and Pay a Civil Penalty , 4793-03 |
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CFTC Expands Eligibility of Bunched Trading to All Futures Customers , 4792-03 |
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CFTC ACCEPTS OFFER OF SETTLEMENT AGAINST CHICAGO FUTURES FIRM AND ITS PRESIDENT; CFTC Orders Robbins Futures, Inc. and Joel Robbins to Pay Civil Penalty of $120,000 and to Cease and Desist from Future Violations , 4791-03 |
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CFTC SUSPENDS NYBOT FLOOR BROKER FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settling Charges Against Trader Brian Thornton, CFTC Finds That Thornton Engaged in Fraud, Bucketing of Customer Orders, Reporting Non-Bona Fide Prices, Noncompetitive Trading, Wash Sales, and Accommodation Trades , 4790-03 |
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Commodity Software Vendor Charged with Violating CFTC Order; Defendant Richard Swannell Sold His Elliott Wave Analyzer Software Programs Through His Website , 4789-03 |
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CFTC CLAIMS MCGRAW-HILL COMPANIES FLOUTED FEDERAL AGENCY SUBPOENAS; Commodity Regulator Asks US District Court for Order Requiring McGraw-Hill To Provide Documents Demanded By Energy Investigation Subpoenas , 4788-03 |
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PORTLAND, OREGON, FOREIGN CURRENCY FIRM, ITS PRESIDENT, AND OTHERS CHARGED WITH STEALING MORE THAN $9 MILLION IN CUSTOMER FUNDS; CFTC Obtains Federal Court Order Freezing Assets of Orion International, Inc. and Several Individuals; Defendants Allegedly Fraudulently Solicited at Least $27 Million from Customers , 4787-03 |
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CFTC CHARGES REDONDO BEACH, CALIFORNIA COMMODITY TRADING ADVISOR WITH FRAUD , 4786-03 |
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TEXAS COMMODITY TRADER SETTLES CFTC CHARGES OF DEFRAUDING CUSTOMERS AND STEALING CUSTOMER FUNDS; CFTC Order Requires That Garland Resident Dewey V. Wiles Pay Restitution to Customers , 4785-03 |
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FLORIDA MAN FOUND IN CIVIL CONTEMPT OF PAYMENT ORDER IN CFTC ANTI-FRAUD ACTION; Federal Court Orders Marc Wuensch to Pay $250,000 Now, Followed by Monthly Payments of $1,500, to Avoid Prison , 4784-03 |
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CFTC REVOKES REGISTRATIONS OF TWO INDIANA BROKERS , 4783-03 |
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FLOOR BROKERS SETTLE CHARGES OF UNLAWFULLY TRADING CATTLE FUTURES; CFTC Finds that Ronald M. Schiller, aided by Eugene J. Chesrow, Engaged in a Wide Variety of Trading Schemes that Cheated Customers , 4781-03 |
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CFTC CHARGES ST. PETERSBURG, FLORIDA, COMPANY AND RESIDENT WITH DEFRAUDING CUSTOMERS IN FOREIGN CURRENCY (FOREX) OPTIONS SCAM , 4781-03 |
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CFTC SETTLES RECORDKEEPING CHARGES WITH CARR FUTURES INC.; CFTC Alleges that Carr Futures Failed to Retain and Produce Cancelled and Unfilled Floor Orders , 4780-03 |
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S&P TRADER BRIAN RAY CHARGED WITH FRAUD , 4779-03 |
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WALL STREET UNDERGROUND, INC. AND OTHERS CHARGED WITH FRAUDULENTLY PROMOTING COMMODITY TRADING SYSTEMS; CFTC Charges Kansas City Commodity Promoters With Making False Claims and Guarantees to Customers; At Least 1000 People Invested in the Multimillion-Dollar Scam , 4778-03 |
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CALIFORNIA COMPANY AND TWO CALIFORNIA RESIDENTS CHARGED WITH COMMODITY POOL FRAUD; CFTC Charges California Corporation and Two Employees With Fraud in Commodity Investment Scam , 4777-03 |
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FEDERAL COURT ORDERS GEORGIA FOREIGN CURRENCY FIRM AND ITS PRESIDENT TO REPAY CUSTOMERS IN CFTC FRAUD ACTION; Infinite Trading Group, LLC. and Anthony Garcia Also Ordered to Pay $660,000 Civil Penalty , 4776-03 |
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CHICAGO MAN ORDERED TO PAY PENALTY FOR FRAUDULENTLY PROMOTING A COMMODITY TRADING SYSTEM , 4775-03 |
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GEORGIA FEDERAL COURT ORDERS ATLANTA FOREIGN CURRENCY FIRM AND ITS CHIEF EXECUTIVE OFFICER TO PAY BACK $662,000 TO DEFRAUDED INVESTORS; Order Also Imposes Civil Penalty of $1.7 Million On Samuel Daley and Advent Capital Partners, Ltd. , 4774-03 |
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CFTC Obtains Federal Court Order Freezing Assets of Defendant U.S. Securities & Futures Corp. , 4773-03 |
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CFTC Staff Allows Euronext Amsterdam N.V.'s Futures Contracts Based on the Amsterdam Exchanges Index to be Offered and Sold in the United States , 4772-03 |
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NEW YORK FOREIGN CURRENCY (FOREX) FIRM CHARGED WITH DEFRAUDING 230 INVESTORS OF $6.4 MILLION; CFTC Charges Holston, Young, Parker & Associates, Conetto Holding Company, Ltd, and Holsten's President With Commodity Scam Using Offshore Banks , 4771-03 |
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SAN FRANCISCO FOREIGN CURRENCY FIRM AND ITS PRESIDENT CHARGED WITH DEFRAUDING 200 CUSTOMERS; CFTC Obtains Federal Court Order Freezing Assets of Defendants DBS Capital Inc. and Douglas Stevens , 4770-03 |
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CFTC SETTLES FOREIGN CURRENCY FRAUD CHARGES WITH CALIFORNIA AND OHIO RESIDENTS; Federal Court Orders Five Defendants To Pay $3.5 Million To Customers in Australia, New Zealand, and the United States , 4769-03 |
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CFTC SETTLES FRAUD ACTIONS AGAINST THREE DEFENDANTS INVOLVED WITH INDIANA COMMODITY POOL; Court Orders Defendants David G. Johnson, Thomas T. Miller and Geoffrey M. Eltzroth to Pay More Than $11 million for Their Violations Arising from a Ponzi Scheme , 4768-03 |
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UTAH MAN CHARGED WITH DEFRAUDING CUSTOMERS OF MORE THAN $300,000 IN FOREIGN CURRENCY (FOREX) TRADING SCHEME; CFTC Obtains Federal Court Order Freezing Assets of Defendants Bryan Hawker and G, Hawker & Stone, LLC , 4767-03 |
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CFTC SUES NATURAL GAS TRADER FOR FRAUD; Christopher Chapman Ordered to Pay $240,000 in Penalties, Among Other Sanctions , 4766-03 |
