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CFTC Extends Comment Period on Rule Amendment Providing Flexibility for Banks, Mutual Funds, Pension Plans, and Insurance Companies that Want to Use Single-Stock Futures , 4727-02 |
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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 , 4726-02 |
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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 , 4725-02 |
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CFTC Issues Consumer Advisory Warning the Public About Commodity Scams Arising Out of the Possibility of Conflict with Iraq , 4724-02 |
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CFTC Issues Web-Based Guidance on Security Futures , 4723-02 |
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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 , 4722-02 |
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CFTC Allows Greater Access to Security Futures Markets , 4721-02 |
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CFTC Commissioner Thomas J. Erickson Resigns , 4720-02 |
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NEW YORK FLOOR BROKER SETTLES CFTC ACTION CHARGING RECORDKEEPING VIOLATIONS; CFTC Order Requires Daniel Lipton to Pay A Civil Monetary Penalty and Restricts His Registration for Two Years , 4719-02 |
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CFTC Provides Flexibility for Banks, Mutual Funds, Pension Plans, and Insurance Companies that Want to Use Single-Stock Futures , 4718-02 |
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CFTC Conducts International Symposium and Training on Derivative Products, Markets and Financial Intermediaries , 4717-02 |
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FLORIDA COURT FINDS TWO FLORIDA RESIDENTS AND THEIR FIRM COMMITTED COMMODITIES FRAUD; Defendants Matrix Trading Group, Inc., David Wedeen, and Christopher Smithers Are Ordered to Pay Restitution to Victims and Are Permanently Banned from All Commodity-Related Activity in CFTC Action , 4716-02 |
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CFTC'S DIVISION OF ENFORCEMENT CREATES OFFICE OF COOPERATIVE ENFORCEMENT; Daniel Nathan Heads New Office Whose Mission is to Strengthen Ties to Other Regulators and Enhance Federal and State Commodities Prosecutions , 4715-02 |
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CFTC's Division of Enforcement Names Three New Deputy Directors , 4714-02 |
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MICHIGAN COMMODITY TRADER SETTLES CFTC COMPLAINT CHARGING COMMODITY POOL FRAUD; Consent Order Finds that John F. O'Herron and O'Herron Asset Management, Inc. Fraudulently Diverted Approximately $1.4 Million of Investor Funds for Their Own Use , 4713-02 |
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CFTC Issues Web-Based Guidance on Anti-Money Laundering , 4712-02 |
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WASHINGTON STATE COMMODITY TRADING FIRM CHARGED WITH FRAUD IN THE SOLICITATION OF FOREIGN CURRENCY (FOREX) FUTURES ACCOUNTS; Defendant Sterling forex Lost $1.8 Million in Customer Investments , 4711-02 |
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PRUDENTIAL SECURITIES, INC. SETTLES CFTC RECORDKEEPING CHARGES; CFTC Orders Prudential Securities, Inc. to Pay $65,000 Civil Monetary Penalty , 4710-02 |
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FLORIDA RESIDENT BARRED FROM COMMODITY TRADING IN GOVERNMENT ACTION; Defendants in CFTC Case Used Approximately $1 Million of Customer Funds to Pay Personal Expenses , 4709-02 |
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CFTC SETTLES ENFORCEMENT ACTION AGAINST FLOOR BROKER CHARGED WITH UNLAWFULLY TRADING COFFEE FUTURES; John Joyce Is Suspended For Three Months and Ordered to Pay $25,000 Penalty , 4708-02 |
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CFTC Releases Rule Enforcement Review of the Commodity Exchange Inc. Division of the New York Mercantile Exchange , 4707-02 |
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ST. LOUIS COMMODITY TRADER AND HIS COMPANY CHARGED WITH TAKING AS MUCH AS $494,000 FROM INVESTORS; CFTC Also Charges Defendants With Giving Investors False Account Statements Showing Profitable Trading When the Defendants Were Losing Money , 4706-02 |
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SISTER OF A FORMER EMPLOYEE OF A CHICAGO COMMODITY FIRM AGREES TO TURN OVER MONEY HER BROTHER GAVE HER AS PART OF HIS FRAUDULENT SCHEME; CFTC Also Obtains Default Judgment Against Other Remaining Relief Defendants , 4705-02 |
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TWO TEXAS MEN SETTLE FEDERAL CHARGES OF FRAUDULENT COMMODITY SCHEME; CFTC Imposed Penalties and Trading Bans , 4704-02 |
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FLORIDA RESIDENT CHARGED WITH SWINDLING AT LEAST $10.6 MILLION FROM INVESTORS AND SPENDING MONEY ON LAS VEGAS JUNKETS, AIRPLANE CHARTERS, HOMES, AND AUTOMOBILES, CFTC Charges Donald C. O'Neill and His Companies with Fraudulent Solicitation and Misappropriation in Connection With Purported Foreign Currency Hedge Funds , 4703-02 |
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Appointment of Richard E. Collier to be Central Regional Coordinator , 4702-02 |
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CFTC'S DIVISION OF ENFORCEMENT NAMES NEW REGIONAL COUNSEL FOR CHICAGO AND NEW YORK OFFICES; Rosemary Hollinger New Regional Counsel for Chicago and Stephen Obie Takes Over as Regional Counsel for New York , 4701-02 |
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CFTC Announces Participants for Its Roundtable on Managed Funds Issues , 4700-02 |
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CFTC Announces Division of Clearing and Intermediary Oversight Regional Management Staff , 4699-02 |
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The CFTC and the Superintendencia De Valores Y Seguros De Chile Sign Memorandum of Understanding , 4698-02 |
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ATLANTA INVESTMENT FIRM AND ITS CHIEF EXECUTIVE OFFICER CHARGED WITH SOLICITING OVER $400,000 FROM CUSTOMERS TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; Government Obtains Federal Court Order Preventing Defendants from Offering Illegal FOREX Contracts and Freezing Assets of Defendants Advent Capital Partners, Ltd. and Samuel Daley , 4697-02 |
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FORMER EMPLOYEE OF AVISTA ENERGY, INC. SETTLES MANIPULATION CHARGES; CFTC Orders Robert Kristufek To Pay $155,000 Civil Monetary Penalty and Imposes Two-Year Trading Ban , 4696-02 |
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ILLINOIS MAN AND HIS FIRM CHARGED WITH SWINDLING OVER $1.4 MILLION IN COMMODITY FRAUD; CFTC Charges John Martin Lofgren and Melrose Asset Management With Fraud , 4695-02 |
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CALIFORNIA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING COMMODITY OPTIONS FRAUD; Madison Financial Group, LLC, and Its President and a Principal, Richard A. Cohen, Are Permanently Barred From Trading Commodity Futures and Options , 4694-02 |
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GEORGIA CORPORATION AND TWO INDIVIDUALS CHARGED WITH FRAUDULENTLY OFFERING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Global Financial Consulting, Inc., Wook Hyun Kim, and Chang H. Lee , 4693-02 |
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SOUTHERN CALIFORNIA FOREIGN CURRENCY TRADING OPERATORS CHARGED WITH SELLING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES: CFTC Charges Nawab Ali Khan Ali, Mega Trend 2000, Inc., Sterling FX International LLC, and Roger Barreto, All Operating Out of Glendale, California , 4692-02 |
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FLORIDA RESIDENTS AND THEIR COMPANIES CHARGED WITH MISAPPROPRIATING CUSTOMER FUNDS IN FOREIGN CURRENCY (FOREX) FUTURES SCAM: CFTC Charges First Bristol Group, Inc., Alliance Equity Group, Inc., Centurion Financial Group, LC, and Great Minster Group, Inc., Staci Lee Petok, Bernard Justin Sevilla, Jack Martin Pomeroy, and Michael Desmond Biggs With Fraud , 4691-02 |
