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CFTC Notifies the Chicago Board of Trade of the Results of It's Review of the Exchange's Financial and Sales Practice Surveillance Programs , #3950-96 |
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CFTC Announces Exchange Order and Trade Automation Roundtable Discussion , #3949-96 |
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CFTC Files Complaint and Motion for Preliminary and Permanent Injunctions in Action Against Eugene M. Walter of Dallas, Texas , #3947-96 |
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CFTC Files Civil Anti-fraud Charges in Michigan District Court Against Gary Berus Individually and D/B/A Profit Masters Group, Meca International, and Patricia Gale , #3946-96 Full text of Order |
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CFTC Files Statutory Disqualification Action Against Sanjay Saxena, a Registered Associated Person, and Select Sector Research and Management, Inc., a Registered Commodity Trading Advisor and Commodity Pool Operator, Both of Cary, North Carolina , #3945-96 |
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Ex Parte Asset Freeze Order Issued by Arizona Court in CFTC Anti-Fraud Enforcement Action Against United Metals Trading Corp., Western National Trading, Anthony F. Andrews, & Marvin C. Pendergraft , #3944-96 |
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Deloitte & Touche Agrees To Pay a $100,000 Civil Penalty to Settle a CFTC Administrative Complaint Filed Against It and Thomas D. Lux, a Partner in the Accounting Firm , #3943-96 |
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CFTC'S Agricultural Advisory Committee to meet on October 2, 1996 , #3941-96 |
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5-Year Trading Ban, and Cease and Desist Order Against Zoltan (Lou) Guttman of New York. , #3940-96 Full text of Initial Decision |
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CFTC Chairperson Born Welcomes Release of Final Windsor Co-chair Report , #3939-96 |
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The CFTC and the New Zealand Securities Commission Sign MOU , #3938-96 |
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The CFTC Announces Further International Cooperation , #3937-96 |
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David D. Spears Sworn in as CFTC Commissioner , #3936-96 |
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Two Unregistered Commodity Trading Advisors Operating Over the Internet Halted From Violating Federal Commodity Laws , #3935-96 J. Spencer Brown Steven J. Marks |
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Brooksley E. Born Sworn in as CFTC Chairperson , #3934-96 |
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CFTC Files Anti-fraud Action Against a Turlock, California Commodity Pool Operator, Everett Scott Hobbs dba Commodity Futures Investment , #3933-96 |
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Results of a NYMEX Recent Rule Enforcement Review , #3932-96 |
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Commodity Futures Trading Commission Releases Report on status of Audit Trails at U.S. Exchanges and Results of Exchange Audit Trail Re-tests , #3931-96 |
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CFTC's Division of Enforcement Sets Up Interactive Internet Enforcement Webpage, Linked to the CFTC Home Page , #3930-96 |
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CFTC Files Four-Count Complaint And Obtains Preliminary Injunction Against Thomas J. Deniz of Modesto, California , #3928-96 |
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Advisory: Responsibilities of Futures Commission Merchants and Relevant Depositories with Respect to Third Party Custodial Accounts , #37-96 |
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Florida Court Enters CFTC Settlement Order with Concorde Trading Group , #3927-96 |
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CFTC Approves Ammended Stock Index Futures Price Limits , #3926-96 |
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CFTC Files Nine-Count Complaint And Obtains Preliminary Injunction Against Edward W. Schroeder, The Edward W. Schroeder Living Trust, And Andre D. Fite of Santa Monica and Los Angeles, California , #3925-96 |
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Florida District Court Issues Orders of Disgorgement Against Rev. Gary A. Smith & Jay Blevins, Defendants in CFTC Anti-Fraud Action , #3924-96 |
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Illinois Court Issues Permanent Injunction in CFTC Anti-fraud Action Against Zebedee McLaurin, V., of Chicago Requiring Restitution of Customer Funds, Among Other Sanctions , #3923-96 |
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CFTC Order Imposes $600,000 Civil Penalty Against Fenchurch Capital Management Inc. of Chicago, In Connection with Market Manipulation and Cornering , #3922-96 Full text of the Commission's Action |
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CFTC Charges Oster Communications, Inc. d/b/a Future Source With Committing Fraud and With Registration Violations in Connection With Sale and Marketing of JDI Limited's "Micro-Trading System" , #3921-96 Full text of the Commission's Action |
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CFTC Will Hold a Day-Long Interactive Symposium on Internal Controls and Risk Management Practices on June 24th , #3920-96 |
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The Execution By Brazil Regulatory Agency Of The Declaration of Cooperation and Supervision of International Futures Exchanges and Clearing Organizations , #3819-96 |
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CFTC Statement Concerning the Copper Market , #3918 |
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New York Court Refuses to Enjoin CFTC Investigation In Response to a Motion Filed by Avxo Financial Corporation # , 3917-96 |
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CFTC Judge Finds that Solomon Mayer Committed Fraud by Bucketing Customer Orders # , 3916-96 |
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CFTC Judge Orders Penalties Against Michael Staryk # , 3915-96 |
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Texas Court Issues Preliminary Injunctions Against Christopher C. Schafer, A.R.S. Financial Services, Peter J. Urbani, and Alchemy Financial Group, All Charged In CFTC Enforcement Action # , 3914-96 |
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Advisory: Electronic Filing of Financial Reports , #28-96 |
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Advisory Committee on CFTC-State Cooperation , #3913-96 |
