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Minnesota District Court Bars James M. Zoller And The Tech-Comm Limited Partnerships From The Futures Industry For Fraudulent Scheme; Orders Restitution to Defrauded Investors of Over $4.91 Million , 4246-99 |
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U.S. District Court for the Northern District of Alabama Orders Payment of $45 Million and a Permanent Injunction By Default Against Dr. Richard E. Busch in Alabama Commodity Pool Fraud Case , 4245-99 |
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CFTC Files Complaint and Obtains Statutory and Temporary Restraining Order Against Mark E. Chulik in Anti-Fraud Action; Chulik, Of Manhattan Beach, CA., is Accused Of Commodity Fraud , 4244-99 |
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<div align="left"> CFTC Issues Proposed Rules Concerning Order Routing and Electronic Access to Futures Exchanges Operating Primarily Outside the U.S., , 4243-99 |
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CFTC Files Administrative Complaint Against Selwyn "SY" Gaiber of Indian Wells, California, Charging Violations of the Commodity Exchange Act and Commission Regulations, , 4242-99 |
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CFTC Files Enforcement Action Alleging Commodity Options Fraud Against Dunhill Financial Group, Inc., Mark Hutcherson and Kevin Jackam; Respondents Allegedly Solicited Customers Over the Internet; CFTC Action Also Alleges New Millennium Promotions, Michael Thomas, and Forrest Dayton, Jr. Violated CFTC Registration Requirements , 4241-99 |
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<div align="left"> CFTC Issues an Order Granting a Dual Trading Exemption to the Chicago Board of Trade's Treasury Bond Futures Contract on its Project A Electronic Trading System, , 4240-99 |
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<div align="left"> CFTC Announces Release of 1999 Staff Survey on Regulation of Over-the-Counter Derivatives Transactions, , 4239-99 |
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CFTC Accepts Settlement Offer of International Futures Corporation (IFC), an Introducing Broker in Washington, D.C.; CFTC Finds that IFC Committed Fraud in Soliciting Customers for its Managed Account Trading Program and Acted as an Unregistered CTA; Order Finds that IFC Customers Lost about $400,000 in its Hermes Managed Account Program , 4238-99 |
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CFTC Files Disqualification Actions Against Frank Barbarino and Frank D’Amato, Floor Brokers at the New York Mercantile Exchange , 4237-99 |
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Florida District Court Orders Over $7.96 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud , 4236-99 |
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CFTC Adds Robert C. Rossi as Respondent in Enforcement Action , 4235-99 |
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<p align="left">The CFTC and the Portuguese Commissao Do Mercado De Valores Mobiliarios Sign MOU, , 4234-99 |
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CFTC Finds That Anthony Myskowski, a Floor Broker at the Coffee Sugar COCOA Exchange, is Subject to Statutory Disqualification And Issues Order on Consent Restricting Myskowski's Registration , 4233-99 |
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CFTC Files Disqualification Action Against Michael H. Varner, a Floor Broker at The New York Board of Trade , 4232-99 |
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<div align="left"> Chairperson Brooksley Born Announces Her Intention Not to Seek Reappointment of a Second Term, , 4231-99 |
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CFTC Files Administrative Complaint Against Farmers Cooperative Company And Three Employees Charging Violations Of The Commodity Exchange Act And Regulations , 4230-99 |
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CFTC Finds That The Andersons, Inc. Of Maumee, Ohio, Offered To Enter And Entered Into Illegal Futures And Option Contracts; CFTC Order Accepting Settlement Offer Finds Convertible HTA Contracts and Option Features Contracts Violated the Commodity Exchange Act, , 4229-99 |
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<div align="left"> Commodity Futures Trading Commission Approves the New York Mercantile Exchange's Proposal to Permit EFS Transaction, , 4228-99 |
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Oklahoma District Court Orders $3.4 Million Restitution Payment and Bars Former Tulsa Resident, Richard Conroy Bell, From the Commodity Futures Industry for Commodity Pool Scheme , 4227-99 |
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<div align="left"> Commodity Futures Trading Commission Proposes Revisions to Part 30 of Its Regulations, , 4226-99 |
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<div align="left"> CFTC Adopts Amendments to Its Rules Governing the Granting of a Temporary Lincense by the National Association, , 4225-98 |
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New York Court Orders Defendants to pay over $7.1 Million in Civil Penalties, and Orders Restitution in Excess of $2.3 Million to Customers in CFTC Action Involving Illegal Foreign Currency Futures Fraud , 4224-99 |
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CFTC Issues an Order Granting Dual Trading Exemption to the Coffee, Sugar & Cocoa Exchange, Inc. , 4223-98 |
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CFTC Adopts New Regulation 1.69 Requiring Self-Regulatory Organizations to Adopt Rules Prohibiting Governing Board, Disciplinary Committee and Oversight Panel Members from Deliberating or Voting on Certain Matters , 4222-98 |
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Florida Court Issues Asset Freeze and Appoints Receiver in CFTC Action Charging Fraudulent Commodity Pool; CFTC Charges Michael Colton and Future-Comm Trading With Defrauding Customers Through Personal Solicitations and an Internet Site , 4221-98 |
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Commodity Futures Trading Commission Announces Education Initiative , 4220-98 |
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California Federal Court Enters Permanent Injunction Against Linton Samaru in Case Charging Nationwide Telemarketing Scheme Involving Precious Metals , 4219-98 |
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CFTC Files Administrative Complaint Against First Options of Chicago, Inc., Charging Recordkeeping Violations , 4218-98 |
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CFTC Files Enforcement Action Alleging Fraud by Steven G. Soule of Atlanta, GA and Aiding and Abetting Fraud by Kyler F. Lunman II of Rumson, NJ and Hold-Trade, Inc., a/k/a Hold Trade, Ltd. of Red Bank, NJ , 4217-98 |
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CFTC's ALJ's Initial Decision On Remand Revokes Registration of Michael F. Staryk, Orders Him to Pay Civil Penalty of $1,327,500 and Imposes Permanent Trading Ban , 4216-98 |
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Kentucky District Court Enters Consent Order of Permanent Injunction Against Charles Nicholas Barth in Commodity Pool Fraud Case , 4215-98 |
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Commodity Futures Trading Commission Announces Its Participation in Department of Justice and FBI Telemarkting Fraud Initiative , 4214-98 |
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CFTC Global Markets Advisory Committee to Meet on December 9, 1998 , 4213-98 |
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CFTC ALJ Denies Todd Alan Thomas Relief from Default, Finds Fraud in Solicitations of Commodity Options Customers , 4212-98 |
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CFTC Adopts Final Rules Establishing Procedures for Requesting Exemptive, No-Action and Interpretative Letters , 4211-98 |
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Florida Federal Court Enjoins Richard Maseri and Private Research Inc. From Violations of the Commodity Exchange Act, and Orders Masteri to Pay Over $552,000 and Private Rsearch to Pay Over $239,000 in Restitution to Customers , 4210-98 |
