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UTAH FEDERAL COURT ENTERS PERMANENT INJUNCTION AGAINST BRIAN TOBLER, OF SYRACUSE, UTAH, IN CFTC ENFORCEMENT ACTION CHARGING FRAUDULENT OPERATION OF THREE COMMODITY POOLS; Court Permanently Bars Tobler From Seeking Registration Or Acting In Any Capacity Requiring Registration With The CFTC and Prohibits Him From Trading For Ten Years , 4394-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF FORMER REFCO PHONE CLERKS MARGARET DULL AND RICHARD MARISIE IN CONNECTION WITH ORDER-TAKING AND RECORDKEEPING VIOLATIONS; CFTC Order Restricts And Conditions Dull’s and Marisie’s Floor Activities For Two Years and Requires Them to Pay $15,000 Each in Civil Monetary Penalties , 4393-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the LIFFE's Morgan Stanley Capital International (MSCI) Pan-Euro Index and the MSCI Euro Index, and on the EUREX's Dow Jones STOXX 50 Index and the Dow Jones EURO STOXX 50 Index , 4392-00 |
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The CFTC and the Italian Commissione Nazionale Per Le Societa E La Bors Supplement MOU , 4391-00 |
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CFTC Staff Allows the Offer and Sale in the U.S. of Futures Contracts on the FTSE International Limited Eurobloc 100 Index, the Eurotop 300 Index, and the Eurotop 300 (Ex. U.K.) Index , 4390-00 |
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CFTC OBTAINS INJUNCTION AND OTHER RELIEF AGAINST ESFAND BARAGOSH, PRINCIPAL OF NOBLE WEALTH DATA INFORMATION SERVICES, INC., BASED ON A FRAUDULENT FOREIGN CURRENCY TRADING SCHEME; Federal District Court Finds That CFTC Has Jurisdiction Over Defendants’ Sale of Foreign Currency Contracts; Orders Baragosh to Pay Over $6.4 Million in Restitution and Fines , 4389-00 |
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CFTC FILES DISQUALIFICATION ACTION AGAINST DAVID ITZKOWITZ, FLOOR BROKER AT THE COFFEE SUGAR & COCOA EXCHANGE , 4388-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST STEVEN C. BRENNER AND JAMI WEISNER BRENNER CHARGING BRENNER WITH VIOLATIONS OF A CFTC TRADING PROHIBITION AND OF A COMMISSION ORDER AND WEISNER WITH AIDING AND ABETTING THOSE VIOLATIONS , 4387-00 |
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ILLINOIS FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST FTI FINANCIAL GROUP AND THREE OF ITS PARTNERS IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; Court Permanently Bars FTI And Samuel Foreman, Mark Stevens, and Carolyn Munn From Trading, Seeking Registration or Acting in Any Capacity Requiring Registration with the CFTC and Requires Them to Pay in Excess of $700,000 in Restitution , 4386-00 |
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CFTC PARTICIPATES IN "INTERNET SURF" TO UNCOVER FRAUDULENT PROMOTION OF COMMODITY INVESTMENT SCHEMES, , 4385-00 |
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CFTC Cancels Open Meeting Scheduled for March 29, 2000 , 4384-00 |
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NEW JERSEY COURT ENTERS PERMANENT INJUNCTION AND RESTITUTION ORDER IN CFTC INJUNCTIVE ACTION AGAINST MURRAY IRA ROSENBERG AND PRO BROKER SERVICES, INC., CHARGING COMMODITY FUTURES AND OPTION FRAUD; Court Permanently Bars Rosenberg From Trading For Others, and Requires Him to Pay $265,000 in Restitution , 4383-00 |
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CFTC CHARGES IMC COMMON ENTERPRISE AND THREE INDIVIDUALS IN $18 MILLION FRAUDULENT PRECIOUS METALS SCHEME; Court Freezes Defendants' Assets and Appoints Receiver to Take Control of Business; CFTC Charges Defendants with Fraudulently Telemarketing Customers And Offering Illegal Futures Contracts , 4382-00 |
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International Futures Regulators Meeting , 4381-00 |
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<div align="left"> CFTC Releases Report Regarding Gold Options Trading on September 28, 1999, , 4380-00 |
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<div align="left"> CFTC Approves LIFFE's Futures Contract Based on the FTSE International Limited Eurotop 100 Index to be Offered or Sold in the United States, , 4379-00 |
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Commission Approves Internet-Based FutureCom Exchange , 4378-00 |
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United States Court of Appeals for the Fifth Circuit Affirms Liability Findings of the CFTC that R&W Technical Services LTD. and Gregory M. Reagan Fraudulently Solicited Customers, in Violation of Sections 4b(a)(i), 4b(a)(iii), and 4o of the Commodity Exchange Act and CFTC Rule 4.41(a) , 4377-00 |
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CFTC SETTLES ACTION AGAINST FARMERS COOPERATIVE COMPANY, FINDING THAT IT OFFERED TO ENTER INTO, AND ENTERED INTO, ILLEGAL FUTURES AND OPTION CONTRACTS AND OPERATED AS AN UNREGISTERED FUTURES COMMISSION MERCHANT; CFTC Order Also Accepts Offers of Settlement from Three Former Employees and Finds that Richard Houge and Larry D. Peterson aided and abetted each of Farmer Co-op’s Violations and that John A. McPherson aided and abetted Farmer Co-op’s operation as an unregistered Futures Commission Merchant , 4376-00 |
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CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST JAMES DEN HARTOG OF WORTHINGTON, MINNESOTA, AND JAMES BAUMGARD, OF SPIRIT LAKE, IOWA, IN UNAUTHORIZED TRADING CASE; CFTC Finds that James Den Hartog Defrauded His Employer by Engaging in Unauthorized Trading and that James Baumgard, an Account Executive, is Also Liable in Connection with Den Hartog’s Trading , 4375-00 |
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CFTC ISSUES FINAL RULE EXEMPTING CERTAIN COMMODITY TRADING ADVISORS FROM REGISTRATION; New Rule Eliminates Registration Requirement For Commodity Trading Advisors That Distribute Standardized Commodity Trading Advice Through Periodicals, The Internet, and Similar Media , 4374-00 |
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CFTC Approves MONEP Exchange's Futures Contracts Based on the Dow Jones STOXX 50 Index and the Dow Jones EURO STOXX 50 Index to be Offered or Sold in the United States , 4373-00 |
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<div align="left"> CFTC Permits Use of Electronic Signatures by Customers of FCMs, Clients of CTAs and Commodity Pool Participants, , 4372-00 |
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<div align="left"> Commodity Futures Trading Commission Proposes Revisions to Rule 4.7, , 4371-00 |
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<div align="left"> Commodity Futures Trading Commission Proposes Revisions to Rule 4.5, , 4370-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CURRENCY TRADING SYSTEMS, JOYCE ROEDER, GLENN CYBULSKI, AND MICHAEL STEWART CHARGING FRAUD IN SOLICITING STUDENTS TO ATTEND SEMINARS TO LEARN AND PURCHASE A COMMODITY TRADING SYSTEM , 4369-00 |
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CFTC FILES A FRAUD ACTION AGAINST DAVID M. MOBLEY, SR., MARICOPA INTERNATIONAL INVESTMENT CORPORATION, ENSIGN TRADING CORPORATION, AND OTHERS AND A PROPOSED CONSENT ORDER OF PRELIMINARY INJUNCTION AND STATUTORY RESTRAINING ORDER; CFTC Complaint Alleges Defendants Carried Out A Multi-Million Dollar Fraud On Investors In Funds Managed By Mobley and Entities He Owned And Controlled; Defendants’ Alleged Fraudulent Scheme Included The Concealment of Losses Incurring From Trading of Commodity Futures And Options On Behalf Of A Commodity Pool , 4368-00 |
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<div align="left"> CFTC Transmits Regulatory Changes to Congress, , 4367-00 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST FORMER CERES TRADING GROUP BRANCH MANAGER DARRYL M. OSLER CHARGING THAT HE COMMITTED COMMODITY FRAUD; CFTC Alleges that Osler, of Delray Beach, Florida, Instructed Brokers Under His Supervision to Make False and Misleading Statements to Customers in Order to Convince Them to Open Accounts and to Place Trades , 4366-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEXUS FINANCIAL GROUP, INC., MARK LEE SINGER AND DAVID ALAN LUGER IN CONNECTION WITH THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Order Finds that Lexus, Singer, and Luger Committed Fraud in Soliciting Customers to Trade Options on Commodity Futures Contracts, Revokes Their Registrations, and Prohibits Them from Trading; Requires Singer and Luger to Pay $6.8 Million in Restitution To Defrauded Customers , 4365-00 |
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CALIFORNIA FEDERAL DISTRICT COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AND RESTITUTION AGAINST MARK E. CHULIK IN CFTC INJUNCTIVE ACTION CHARGING COMMODITY POOL FRAUD; CFTC Files And Settles Related Statutory Disqualification Proceeding and Revokes Chulik’s Registration As a Commodity Trading Advisor , 4364-00 |
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CFTC FINDS CAPITAL INSIGHT BROKERAGE, INC. STATUTORILY DISQUALIFIED FROM REGISTRATION AND ISSUES ORDER ACCEPTING OFFER OF SETTLEMENT AND REVOKING CAPITAL INSIGHT’S REGISTRATION , 4363-00 |
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<div align="left"> Commission Approves Cantor Financial Futures Exchange Block Trading Proposal, , 4362-00 |
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SELLERS OF COMMODITY TRADING COURSE PAY $185,000 IN RESTITUTION AND PENALTIES AND ACCEPT INDUSTRY BAN UNDER CONSENT ORDER ISSUED BY MINNESOTA COURT; CFTC Had Charged Pelton Street Publishing, Inc. and Roger Martin Hoy with Fraudulent Sales Practices , 4361-00 |
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CFTC FILES AND SETTLES ACTION AGAINST SOGEMIN METALS INC. IN CONNECTION WITH A FRAUDULENT COMMISSION ARRANGEMENT AND KICKBACK SCHEME; CFTC Order Finds that Sogemin Metals Inc. Defrauded Two Chilean Metals Firms and Orders, Among Other Sanctions, Payment of a $500,000 Civil Monetary Penalty , 4360-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF DUNHILL FINANCIAL GROUP, INC. AND MARK HUTCHERSON IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Finds that Dunhill and Hutcherson Committed Fraud in Soliciting Customers to Trade Options on Commodity Futures Contracts and Failed to Supervise, and Revokes Their Registrations and Prohibits Them from Trading, among other Sanctions , 4359-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF LEON LEVITIS, ILYA LEVITIS, AND PAUL MANFRE IN CONNECTION WITH THE FRAUDULENT SALE OF ILLEGAL FOREIGN CURRENCY FUTURES CONTRACTS; Order Finds That Leon Levitis, Ilya Levitis, and Paul Manfre Fraudulently Solicited Customers To Enter Into Illegal Foreign Currency Futures Contracts And That Leon Levitis and Ilya Levitis Also Made and Issued False Reports, Bucketed Customer Orders, and Converted and Commingled Customer Funds , 4358-00 |
