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CFTC Recognizes First Offshore Clearinghouse Under CFMA , 4579-01 |
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CFTC and SEC Extend Comment Periods for Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products to December 5, 2001 , 4578-01 |
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Two Texas Men Sued for Defrauding Former Employer; CFTC Charges Clay Krhovjak and Paul Cochran in Fraudulent Allocation Scheme , 4577-01 |
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CFTC Adopts Rules on Listing Standards and Conditions for Trading Futures Products , 4576-01 |
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CFTC Adopts More Flexible Regulations for Intermediaries , 4575-01 |
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COLORADO MAN BANNED FOR UNAUTHORIZED COMMODITY TRADING; CFTC Imposes Trading Ban on Dale Luther Mock , 4574-01 |
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CFTC's Division of Trading and Markets Clarifies Certain Exemptive Relief , Advisory 42-01 |
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CFTC Charges Texas Commodity Broker with Fraud; CFTC Alleges that D. Michael Sheaves Fraudulently Omitted Significant Trading Losses , 4573-01 |
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CFTC Requests Records Search by Futures-Related Entities Following Attacks , 4572-01 |
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CFTC and SEC Propose Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products , 4571-01 |
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CFTC Provides Additional Relief to Futures Industry Following Attacks , 4570-01 |
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CFTC Acting Chairman James Newsome and Key Staff Members Travel to New York to Meet With the Commission's New York Regional Staff , 4569-01 |
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GEORGIA INTERNET PROMOTERS CHARGED WITH COMMODITY FRAUD; CFTC Alleges that George Heffernan and Ellery Coleman Made False Claims Concerning Profits Generated by Commodity Trading Systems; Defendants Also Alleged to Have Violated CFTC Orders Issued Against Them in September and May 2000 , 4568-01 |
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Closing of the Securities and Futures Markets on Wednesday , 4567-01 |
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Canadian Resident and His Offshore Company Charged with Defrauding U.S. and Canadian Investors Through A Commodity Scam; CFTC Alleges That Defendants Andrew Duncan and Aurum Society, Inc. Operated "Ponzi" Scheme and Fraudulently Obtained Over $3 Million from Customers; Defendants also Alleged to have Misappropriated Funds, , 4565-01 |
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Iowa Commodities Speculator Settles Government Charges; CFTC Bans Frederick Mersch From Trading For Two Years For False Reporting and Exceeding Trading Limits on Frozen Pork Belly Futures , 4566-01, |
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CFTC Charges Los Angeles Commodity Broker with Fraud; CFTC Alleges that Broker Alfred Gladstone Fraudulently Claimed That He Made Millions In Profits When In Fact, His Customers Had Net Losses Of Over $1 Million; Although 99% Of His Customers Lost Money, Broker Told Them That Their Investments Were "a Sure Bet", , 4564-01 |
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CFTC's Latest Action Part of Nationwide Crackdown on Foreign Currency (Forex) Scams; Complaint Charges Defendants with Defrauding U.S. and Canadian Citizens; Telemarketers Used High-Pressure Sales Tactics to Solicit Customers , 4563-01 |
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Georgia Defendants Settle Commodity Fraud Charges; CFTC Permanently Bans James E. Stephens, III, and Trendsystems, Inc. from Trading on Behalf of Others , 4562-01 |
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CFTC and SEC Propose Joint Rules Relating to Trading of Security Futures Products; Cash Settlement, Trading Halts , 4561-01 |
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CFTC Issues New Rules for Futures Clearinghouses , 4560-01 |
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CFTC Recognizes New Joint Venture Exchange for Single-Stock Futures , 4559-01 |
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CFTC Approves NFA Rules on Single-Stock Futures , 4558-01 |
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CFTC Proposes More Flexible Regulations for Intermediaries , 4557-01 |
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CFTC Final Rules Provide Notice-Designation Procedures for Securities Exchange that Plan to Trade Single-Stock Futures , 4556-01 |
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Avista Energy, Inc. Ordered to Pay $2.1 Million to Settle CFTC Charges of Manipulating Electricity Futures; Former Company Officers and Employees and NYMEX Floor Broker also Charged with Manipulation , 4555-01 |
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CFTC and SEC adopt Joint Rules and Issue Joint Order Relating to Trading of Security Futures Products in the United States , 4554-01 |
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CFTC Files Enforcement Action Charging Two Chicago Firms and Resident with a Failure to Supervise Foreign Accounts; CFTC Files Complaint Against Excellent USA And John Gallwas and Accepts Settlement Offer From LFG , 4553-01 |
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CFTC Settles Fraud Action Against COMEX Floor Broker Vincent Coppola , 4552-01 |
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CFTC Files Enforcement Actions Against Los Angeles-Based Firms Selling Illegal Foreign Currency (FOREX) Investments to the Retail Public; Acro Information Service, Inc., Pakco Holdings Limited and Dr. Florentius Chan Charged with Committing Fraud; Acro's Customers were Members of Asian and Other Ethnic Communities; In the Second Action, Fintrex, Inc., Arman Ovsepyan, and Lytresse Fox Are Charged with Offering Illegal Off-Exchange Forex Futures Contracts , 4551-01 |
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CFTC Adopts First Set of Final Rules on Single-Stock Futures , 4550-01 |
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CFTC Charges Maryland Man and His Company With Defrauding 600 Investors in a Commodity Pool; CFTC Alleges That Defendants Peter Scott and R&W Capital Management, Inc. Fraudulently Solicited Over $2 Million from Investors and Misappropriated Investor Funds For Personal Use , 4549-01 |
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CFTC Releases Market Surveillance Rule Enforcement Review of the Chicago Board of Trade , 4548-01 |
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CFTC Kicks Off Implementation of the Commodity Futures Modernization Act by Adopting New Rules for Exchanges , 4547-01 |
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CFTC's Global Markets Advisory Committee to Meet on August 1, 2001 , 4546-01 |
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CFTC Charges Chicago Area Residents with Fraudulent Promotion of Pork Belly Trading System; According to the Complaint, a Year's Worth of Service Cost $4,500 and Ads Touted that Customers Could Have Made as Much as 700% , Release 4545-01 |
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Colorado Man Sued for Failing to Tell Customers His Commodity Trading System was Based on Hypothetical Trades; Gramalegui Made False Claims that his Mother Profitably Traded with His System , Release 4544-01 |
