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Commodity Futures Trading Commission Lifts ban On Agricultural Trade Options; Announces Pilot Program , 4135-98 |
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CFTC Notifies the New York Mercantile Exchange's COMEX Division of Its Results of A Rule Enforcement Review , 4134-98 |
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CFTC Files Civil Anti-Fraud And Registration Charges In Vermont Federal District Court Against Thomas B. O'Connell In Connection With The Sale Of Commodity Futures To The Public 4133-98 , April 8, 1998. , 4133-98 |
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CFTC Files Enforcement Action Against Henry & Horne, PLC, an Accounting Firm, And Two Of Its Accountants 4132-98 , April 8, 1998. , 4132-98 |
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CFTC Files Administrative Complaint Against John F. Ackerman and Sterling Investments of America, Charging Solicitation Fraud and Unauthorized Trading, 4131-98 (CFTC Docket No. 98-9) , April 3, 1998. , 4131-98 |
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CFTC Files Administrative Complaint Against CMB Capital Management Corp., Grace Hsu, and Allen Tsui, Charging Fraud by Unauthorized Trading and Failure to Disclose Trading Risks, Among Other Violations of Federal Commodity Law and CFTC Regulations, 4130-98 (CFTC Docket No. 98-10) , April 2, 1998. , 4130-98 |
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Tennessee Court Issues Permanent Injunction in CFTC Enforcement Action Against Ronald Barback of Knoxville, 4128-98 (Civ 3-97-638) , April 1, 1998 , 4128-98 |
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CFTC Files Complaint and Obtains an Ex Parte Asset Freeze Against Eight in Utah Accused of Commodity Fraud, 4129-98 (Civ-98-Civ-00216J) , March 31, 1998. , 4129-98 |
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CFTC Releases Consumer Advisory on Foreign Currency Trading Fraud , 4127-98 |
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International Futures Regulators Amend Declaration On Cooperation And Supervision Of International Futures Markets And Clearing Organizations To Address Potential Manipulative Or Abusive Practices , 4125-98 |
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Commissioner Barbara Holum Announces Membership of the CFTC's Global Markets Advisory Committee , 4124-98 |
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CFTC Proposes to Amend Its Rules of Practice , 4123-98 |
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CFTC Extends Deadline for Public Comment On Its Concept Release Concerning the Regulation of Noncompetitive Transactions Executed on or Subject to the Rules of a Contract Market , 4122-98 |
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New York Court Orders Defendants To Pay Nearly $4.2 Million in Civil Penalties, and Orders Restitution to Customers in the CFTC's Anti-Fraud Enforcement Action Against Titlis International Inc., 4121-98 (95 Civ. 5416) , March 16, 1998 , 4121-98 |
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CFTC Files Administrative Complaint Against James W. Bradshaw d/b/a Neural-Tech Capital Management of Greenwich, CT, Charging Solicitation Fraud and Account Churning, Among Other Allegations of Federal Commodity Law and CFTC Regulations, 4120-98 (CFTC Docket No. 98-6) , March 11, 1998. , 4120-98 |
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CFTC Institutes Proceedings and Makes Findings Against Gary S. Antonacci of Richmond, California, 4119-98 (CFTC Docket No. 98-8) , March 11, 1998. , 4119-98 |
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CFTC Seeks Public Comment on Proposed Amendments To Its Net Capital Rule, Rule 1.17, That Will Eliminate The Charge Against The Capitol Of An FCM, Known as the The Short Option Value Charge , 4118-98 |
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CFTC Establishes Global Markets Advisory Committee , 4117-98 |
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CFTC Charges Hanover Trading Corp. and Dupont Group, Inc. Both of New York, the President Michael Singer, and a Salesperson in Nationwide Telemarketing Scheme Involving the Fraudulent Sale of Illegal Off-Exchange Futures Contracts, 4116-98 (98-CIV-1365) , March 10, 1998. Text of complaint . , 4116-98 |
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CFTC Files Six-Count Administrative Complaint Against Abraham and Sons Capital, Inc. and Brett G. Brubaker of Colorado, Alleging That the Respondents Defrauded Commodity Pool Customers, 4115-98 (CFTC Docket No. 98-7) , March 6, 1998. , 4115-98 |
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CFTC Notifies the New York Cotton Exchange of its Results of A Rule Enforcement Review , 4114-98 |
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CFTC's Financial Products Advisory Committee to Meet on February 25, 1998 , 4113-98 |
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Commodity Futures Trading Commission Announces Participation in COSRA Investor Education Week , 4112-98 |
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California Court Enteres Orders of Permanent Injunction Against California Telemarketing Firm, Its President, and Two Firm Employees; Orders Resititution Be Paid to Firm's Investors, 4111-98 (Civ 97-4443) , February 19, 1998. , 4111-98 |
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CFTC Files Complaint Against Jack Dwight Cullen of Pradise, Texas, Alleging That He Committed A $174,000 Commodity Fraud and Obtains an Ex Parte Asset Freeze, 4110-98 (4-98-CV-0140A) , February 18, 1998. , 4110-98 |
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Arizona Court Enters Order of Permanent Injunction and Restitution in CFTC and State of Arizona Enforcement Action Against United Metals Trading Corp., Western National Trading, and Anthony F. Andrews, of Scottsdale, Arizona, and Marvin C. Pendergraft, of Phoenix, Arizona, 4109-98 (CIV-96-2185) , February 18, 1998. , 4109-98 |
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CFTC Files Complaint Against Thomas W. Lamar of Waterford, Michigan, Alleging That He Committed $2 million commodity Fraud, 4108-98 (Civ 98-70169) , February 17, 1998. Text of the Complaint . , 4108-98 |
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Ohio Court Issues Permanent Injunction Against Jeffrey A. Smith of Westerville, Ohio, Ordering Him to Disgorge Ill-Gotten Gains, 4107-98 (C2-94-981) , February 17, 1998. , 4107-98 |
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CFTC Adopts Amendments to Its Risk Disclosure Rules Governing Futures Commission Merchants and Introducing Brokers , 4106-98 |
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New York Court Issues Preliminary Injunctions Against William Sanchez and Brian Willis in CFTC Anti-Fraud Enforcement Action, Which Also Charges Worldwide Commodities Ltd. and Templar International Ltd, 4105-98 (97 Civ 5255) , February 12, 1998. , 4105-98 |
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CFTC Institutes Proceedings Against William Koerner and IV Great River Corp. -- Both of Vero Beach, Florida -- Alleging Fraud and Simultaneously Settles the Charges, 4104-98 (CFTC Docket 98-5) , February 9, 1998. , 4104-98 |
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CFTC Files Amended Complaint in CFTC v. FTI Financial Group Charging Four Additional Defendants in Ohio With Fraud, Among Other Violations of Federal Commodity Law, 4103-98 (CIV-97-C7061) , February 9, 1998. , 4103-98 |
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CFTC Files Complaint Against James F. Bonney of Plover, Wisconsin Alleging that He Committed a $540,000 Commodity Fraud, 4102-98 (Civ 98-C0087C) , February 5, 1998. , 4102-98 |
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CFTC Seeks Public Comment on the Application of Cantor Financial Futures Exchange to Become Designated as a Contract Market For Computer-Based Trading of Various U.S. Treasury Securities Futures Contracts , 4101-98 |
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CFTC Seeks Public Comment on the Regulation of Noncompetitive Transactions Executed on or Subject to the Rules of an Exchange , 4100-98 |
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CFTC Seeks Public Comment on a Proposed Regulation to Establish Conflict of Interest Restrictions for Self-Regulatory Organizations Governing Boards and Committees , 4099-98 |
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Hawaii Court Issues Preliminary Injunction in CFTC Enforcement Action Against Brien Sullivan , 4098-98 |
