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UTAH COMPANY AND FOUR UTAH RESIDENTS CHARGED WITH COMMODITY POOL FRAUD; CFTC Alleges Gahma Corporation, John Garrett, Allen Andersen and Robert Heninger Fraudulently Solicited at Least $700,000 from Individuals to Trade Commodity Futures Contracts; CFTC Also Charges Stephen Brockbank, an Advisor to the Pool, with Fraud; This is the Second Fraud Action Filed by the CFTC Against Brockbank , 4690-02 |
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Minnesota Federal Court Preliminarily Enjoins Foreign Currency Fraud</span>: Defendants Sovereign Resource Management, Inc., Ken Mitra, Virgil Smith and Anthony Heppner Ordered to Account for Investor Funds , 4689-02 |
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Walt Lukken Sworn in as CFTC Commissioner , 4688-02 |
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Sharon Brown-Hruska Sworn in as CFTC Commissioner , 4687-02 |
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FEDERAL COURT APPOINTS RECEIVER TO TAKE CONTROL OF ASSETS OF MICHIGAN ATTORNEY IN COMMODITIES FRAUD CASE; The CFTC Charged Defendant Charles Mady with Issuing False False Account Statements to Hide Mounting Commodity Trading Losses and Misappropriating Investor Funds , 4686-02 |
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CFTC and SEC Adopt Final Rules Necessary to Permit Domestic Trading in Security Futures Products , 4685-02 |
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CFTC Proposes Reporting Level for TRAKRS Futures Contracts , 4684-02 |
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CFTC CHARGES MICHIGAN RESIDENT WITH INTERNET FRAUD AS PART OF FEDERAL "NETFORCE" INITIATIVE; Complaint Alleges Fraudulent Promotion of Internet Trading System , 4683-02 |
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CFTC FINES FORMER TRADING ADVISOR FOR HIS ROLE IN MULTI-MILLION DOLLAR FRAUDULENT ALLOCATION SCHEME; Michael Skrable Agrees to Be Prohibited From Trading and From Registration , 4682-02 |
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CFTC Announces Participants for Its Roundtable on Clearing Issues , 4681-02 |
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CFTC Issues Order Suspending and Restricting Floor Broker's Registration Based on Exchange Disciplinary Proceedings , 4680-02 |
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FLORIDA FEDERAL COURT ENJOINS RECIDIVIST IN ACTION ALLEGING HE MISAPPROPRIATED AT LEAST $1 MILLION IN CUSTOMER FUNDS AND VIOLATED A PRIOR FEDERAL COURT ORDER; Consent Order issued by United States District Court in Florida Enjoins Defendants Thomas D. Chilcott and Leona Westbrook from, among other things, Committing Fraud and also Permanently Bars Defendants from Commodity Trading , 4679-02 |
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CFTC Staff Allows ASX Futures Exchange Pty Limited's Futures Contracts Based on the S&P/ASX 200 Index and the S&P/ASX 50 Index to be Offered and Sold in the United States , 4678-02 |
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GRENADIAN COMPANY, A CANADIAN CITIZEN, AND TWO MINNESOTA RESIDENTS CHARGED WITH COMMODITY POOL FRAUD; CFTC Alleges that Sovereign Resource Management, Inc., Ken Mitra, Virgil E. Smith, and Anthony J. Heppner Fraudulently Solicited Individuals to Trade Foreign Currency Futures Contracts and Misappropriated Over $600,000 of Investors' Funds , 4677-02 |
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CFTC SUSPENDS TWO FLOOR BROKERS FOR UNLAWFULLY TRADING COFFEE FUTURES CONTRACTS; In Settlement, Joseph Defrancesco Found to Have Engaged in Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices, and Marc Greenstein Found to Have Engaged in Noncompetitive Trading, Wash Sales, and Accommodation Trades , 4676-02 |
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NEW YORK FOREIGN CURRENCY FIRMS CHARGED WITH FRAUDULENTLY SOLICITING OVER $15 MILLION FROM AS MANY AS 400 CUSTOMERS NATIONWIDE TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Defendants International Financial Services (New York), Inc., International Financial Services (New York), LLC, John Walker Robinson, and Chan Kow Lai , 4675-02 |
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CFTC Joins with Treasury Department on Proposed Patriot Act Rules , 4674-02 |
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FLORIDA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING FOREIGN CURRENCY (FOREX) OPTIONS FRAUD; International Currency Strategies, Inc., Strategic Trading Group, Inc., Fairfield Currency Group, Inc., and Their Officers - Daniel Phillips and Valentin Fernandez - Are Permanently Barred From Trading Commodity Futures and Options , 4673-02 |
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CFTC Notifies National Futures Association of Results of a Rule Enforcement Review , 4672-02 |
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COFFEE COMMODITY TRADERS BRUCE MILLER AND DEIRDRE ANDERSON CHARGED WITH FRAUDULENT TRADE ALLOCATION SCHEME; George Lamborn and Richard Lani Sr. Alleged To Have Failed to Diligently Supervise Miller and Anderson’s Trading; CSCE Floor Brokers, Daniel Lipton and Kenneth Lawson, Charged With Failing to Obtain Required Customer Account Identification , 4671-02 |
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CFTC to Participate in Interagency Corporate Fraud Task Force , 4670-02 |
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CFTC Announces Roundtable on Clearing Issues , 4669-02 |
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FLORIDA WOMAN AND COMPANY SETTLE CFTC CHARGES ALLEGING THEY FRAUDULENTLY MARKETED COMMODITY TRADING SYSTEMS; CFTC Imposed Trading Bans and Penalties on Bernadette Flavell and Systems of Success – Window to Profit (SOS) , 4668-02 |
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SIX COFFEE, SUGAR & COCOA EXCHANGE FLOOR BROKERS CHARGED BY CFTC WITH UNLAWFULLY TRADING COFFEE FUTURES , 4667-02 |
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CFTC Sets Stage For Security Futures Launch , 4666-02 |
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CFTC Staff Allows Eurex Deutschland’s Futures Contract Based on the Dow Jones Global Titans 50 Index and JSE Securities Exchange South Africa’s Futures Contract on the FTSE/JSE 40 Top Companies Index to be Offered and Sold in the United States , 4665-02 |
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CFTC to Hold Open Meeting to Discuss Issues Related to Security Futures Products Including Customer Margin Rules , 4664-02 |
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CFTC Notifies the Chicago Mercantile Exchange of Its Results of a Rule Enforcement Review , 4663-02 |
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CFTC Approves NFA Rules on Retail Foreign Currency Trading , 4662-02 |
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CFTC Announces Appointment of Michael Gorham as Director, Division of Market Oversight , 4661-02 |
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CALIFORNIA COMMODITY TRADER CHARGED WITH UNAUTHORIZED TRADING, UNLAWFULLY OPERATING A COMMODITY POOL AND ILLEGALLY MANAGING TRADING ACCOUNTS; CFTC Files Complaint Against Donald Steven Smith and His Company, Fibit.com, in Federal District Court , 4660-02 |
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CFTC Issues Report on its Intermediaries Study , 4659-02 |
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CFTC to Brief Iowa Cattlemen on Cattle Market , 4658-02 |
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FLORIDA MAN SETTLES CHARGES ALLEGING HE FRAUDULENTLY MARKETED COMMODITY TRADING SYSTEMS; CFTC Bars Kevin Kates From Trading , 4657-02 |
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CFTC Recognizes New Exchanges for Single-Stock Futures , 4656-02 |
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MICHIGAN ATTORNEY CHARGED WITH $6 MILLION COMMODITIES FRAUD; Federal Government Alleges that Charles Mady Issued False Account Statements to Hide Mounting Commodity Trading Losses and Misappropriated Over $1 Million , 4655-02 |
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MARYLAND MAN AND FIRM SETTLE CHARGES OF FRAUD WITH CFTC; Consent Order issued by District Court Enjoins Defendants Peter Scott and Rothlin & Windsor Capital Management, Inc. from Committing Fraud and also Permanently Bars Defendants from trading in futures and options , 4654-02 |
