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FLORIDA FEDERAL COURT ENTERS CONSENT ORDER OF PERMANENT INJUNCTION AGAINST GLENN R. TAUBMAN IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions and a Two-Year Registration Ban , 4357-00 |
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VIRGINIA COURT ENTERS PERMANENT INJUNCTION AND RESTITUTION ORDER IN CFTC INJUNCTIVE ACTION AGAINST PETER BERZINS CHARGING COMMODITY POOL FRAUD; Court Permanently Bars Berzins From Trading, Seeking Registration Or Acting In Any Capacity Requiring Registration With The CFTC and Requires Him to Pay in Excess of $1 Million in Restitution, , 4356-00 |
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CFTC ACCEPTS SETTLEMENT OFFERS FROM FIRST OPTIONS OF CHICAGO, INC. IN TWO ENFORCEMENT ACTIONS, AND ORDERS MORE THAN $200,000 IN MONETARY SANCTIONS; In One Action, CFTC Finds That First Options of Chicago Is Liable For Violations Of, And Failed To Diligently Supervise its Guaranteed Introducing Broker; In The Second Action, CFTC Finds Recordkeeping Violations , 4355-00 |
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INDIANA FEDERAL COURT ENTERS JUDGMENT AGAINST MARKET CAPITAL GROWTH, INC.; CARMEN FIELD; AND MONA SMITH AND ORDERS RESTITUTION OF OVER $1.2 MILLION TO BE PAID TO DEFRAUDED INVESTORS IN COMMODITY POOL FRAUD CASE; Court Also Enters Consent Orders Of Permanent Injunction Against Steven D. Hudkins, Bart BeMiller and Robert J. Riethman and Orders Hudkins and BeMiller To Pay Restitution Of Over $600,000 , 4354-00 |
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<p align="left">CFTC Reports all U.S. Futures Exchanges Scheduled to Open Today Have Done so and are Operating Normally, , 4353-00 |
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CFTC ISSUES ORDER ACCEPTING OFFERS OF SETTLEMENT FROM FRANK BARBARINO AND FRANK D'AMATO, FINDING THAT BARBARINO AND D’AMATO ARE SUBJECT TO STATUTORY DISQUALIFICATION AND RESTRICTING THEIR REGISTRATIONS AS FLOOR BROKERS AT THE NYMEX , 4352-99 |
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Florida District Court Orders $2.29 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud , 4351-99 |
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CFTC FILES ADMINISTRATIVE COMPLAINT AGAINST CARL DEAN DIXON, CHARGING THAT HE COMMITTED COMMODITY FRAUD AND FAILED TO REGISTER AS A COMMODITY TRADING ADVISOR; CFTC Alleges that Dixon Made Misrepresentations and Deceptive Statements and Provided False Reports in Connection With His Fraudulent Solicitation of, and Advice to, Students of His Futures Trading Course , 4350-99 |
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CFTC FILES AND SETTLES ACTION AGAINST GEORGE W. VELISSARIS FOR COMMODITY POOL FRAUD; CFTC Finds that Velissaris Defrauded Investors by Misappropriating Commodity Pool Funds and Misrepresenting the Profitability of the Commodity Pools, and Orders Restitution to Defrauded Investors, Among Other Sanctions , 4349-99 |
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CFTC APPROVES MONTREAL EXCHANGE'S FUTURES CONTRACT BASED ON THE S&P/TSE 60 STOCK INDEX FOR OFFER AND SALE IN THE UNITED STATES , 4348-99 |
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FLORIDA FEDERAL COURT GRANTS FINAL JUDGMENT BY DEFAULT AGAINST HARTFORD FINANCIAL GROUP, INC.; KERI L. STEWART; AND JOSEPH J. MARCHIANO IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions And Requires Defendants To Pay Civil Monetary Penalties , 4347-99 |
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CFTC Proposes to Exempt Certain Commodity Trading Advisors from Registration , 4346-99 |
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CFTC Agricultural Advisory Committee to Hold Meeting , 4345-99 |
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CFTC Revamps Agricultural Trade Option Rules , 4344-99 |
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CFTC Announces Roundtable on Technology Issues , 4343-99 |
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CFTC Announces Roundtable to Discuss Regulation of Exchange-Traded Derivatives , 4342-99 |
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CFTC ACCEPTS SETTLEMENT OFFER FROM EMMETT J. WHEALAN IN CASE INVOLVING TRADE PRACTICE FRAUD; Settlement Agreement Revokes Whealan’s Registration, Prohibits Him From Trading For Five Years, And Imposes A $125,000 Civil Monetary Penalty, Among Other Sanctions , 4341-99 |
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Court of Appeals for the Second Court Issues a Decision in Guttman v. CFTC, No. 98-4178, (2d Cir.), , 4340-99 |
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CFTC Approves Actions to Advance Regulatory Reform , 4339-99 |
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Phyllis Cela Receives Presidential Rank Award , 4338-99 |
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FLORIDA COURT ENTERS ORDER OF DEFAULT AND PERMANENT INJUNCTION AGAINST EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD.; TORTOLA CORPORATION COMPANY, LTD.; INTERNATIONAL INVESTMENT GROUP, LTD.; AND RICHARD TICHY IN CFTC ENFORCEMENT ACTION CHARGING COMMODITY POOL FRAUD; Order Requires Defendants to Pay in Excess of $10 Million in Restitution and Civil Monetary Penalties , 4337-99 |
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CFTC FILES CIVIL ENFORCEMENT ACTION AND OBTAINS RESTRAINING ORDER AGAINST FRED MONTE, JEANNE H. MONTE, AND COMP TECH LTD. INC., ALL OF BOCA RATON, FLORIDA, IN CONNECTION WITH THE ALLEGEDLY FRAUDULENT SALE OF A TRADING SYSTEM FOR FOREIGN CURRENCY FUTURES CONTRACTS , 4336-99 |
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CFTC FILES CIVIL INJUNCTIVE COMPLAINT IN FEDERAL COURT IN LOS ANGELES AGAINST S. JAY GOLDINGER AND CAPITAL INSIGHT BROKERAGE, INC., CHARGING A FRAUDULENT TRADE ALLOCATION SCHEME; DEFENDANTS AGREE TO ENTRY OF PERMANENT INJUNCTION AND $6 MILLION DISGORGEMENT ORDER , 4335-99 |
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CFTC Notifies the Coffee, Sugar & Cocoa Exchange of Results of a Rule Enforcement Review , 4334-99 |
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CFTC Staff Reports That U.S. Futures Markets Remain Global Competitors , 4333-99 |
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CFTC ACCEPTS SETTLEMENT OFFERS OF TODD ALAN THOMAS AND WELLINGTON FINANCIAL GROUP, INC. IN CONNECTION WITH THE FRAUDULENT SOLICITATION OF CUSTOMERS; CFTC Order Accepting Settlement Offers Finds That Thomas and Wellington Committed Fraud In Soliciting Customers To Trade Commodity Future Options, Revokes Their Registrations, and Prohibits Them From Trading; Thomas Is Required to Pay $1.9 Million in Restitution to Defrauded Customers , 4332-99 |
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CFTC WINS CASE AGAINST WEB OF FLORIDA FIRMS AND THEIR PRINCIPALS ENGAGED IN FRAUDULENT TELEMARKETING OF ILLEGAL FUTURES CONTRACTS (MIDLAND RARE COIN EXCHANGE, INC., ROBERT J. MITCHELL, TERRY A. SANDS, AND EIGHT OTHER DEFENDANTS); Federal District Court Rules that CFTC Has Jurisdiction Over Defendants’ Sale of Highly-Leveraged Precious Metal Contracts; Orders Florida Defendants to Pay Restitution Totaling Over $12.4 Million to Defrauded Investors Nationwide , 4331-99 |
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CFTC Announces the Appointment of Charles J. Sgro as Counsel for the Eastern Regional Office (New York) , 4330-99 |
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WISCONSIN FEDERAL COURT ENTERS CONSENT ORDER OF RESTITUTION AGAINST JAMES F. BONNEY OF PLOVER, WISCONSIN, IN COMMODITY POOL FRAUD CASE FILED IN 1998; Court Orders Bonney to Pay Over $300,000 in Restitution to Defrauded Customers , 4329-99 |
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COURT ORDERS AYM FINANCIAL CORPORATION AND ITS TWO PRINCIPALS, THOMAS M. PALEY AND ADAM S. JUECHTER, TO PAY RESTITUTION AND DISGORGEMENT TO SETTLE SUIT CHARGING FRAUDULENT SALE OF FOREIGN CURRENCY FUTURES CONTRACTS; Permanent Injunction Also Ordered Against Third Defendant, Marc Kronish , 4328-99 |
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CFTC FILES COMPLAINT IN HAWAII FEDERAL COURT AGAINST DAVID T. MARANTETTE, III AND TROUBADOUR, INC., CHARGING FRAUD IN SOLICITING CUSTOMERS TO INVEST IN COMMODITY POOLS AND PURCHASE COMMODITY TRADING ADVISORY SERVICES; Federal Court Enters a Consent Order of Preliminary Injunction Prohibiting Marantette and Troubadour from Engaging In Fraudulent Activities, Barring the Destruction of Documents, and Freezing the Defendants' Assets , 4327-99 |
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CFTC Announces Appointment of John C. Lawton as Acting Director of the Division of Trading and Markets , 4326-99 |
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CFTC Announces the Appointment of C. Robert Paul as General Counsel , 4325-99 |
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CFTC Notifies the Chicago Mercantile Exchange of its Results of a Rule Enforcement Review , 4324-99 |
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CFTC ACCEPTS SETTLEMENT OFFER OF SOUTHERN THUMB CO-OP, INC. ARISING FROM THE MARKETING OF ILLEGAL OFF-EXCHANGE AGRICULTURAL OPTIONS; CFTC Order Accepting Settlement Offer Finds Fraud In The Solicitation of Customers To Enter Into Off-Exchange Agricultural Options , 4323-99 |
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CFTC Seeks Public Comment on the Cantor Financial Futures Exchange's Proposal to Establish Block Trading Procedures , 4322-99 |
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Rule Enforcement Review of National Futures Association's Disclosure Document Review Program for CPOs and CTAs , 4321-99 |
