10/02/2002
ST. LOUIS COMMODITY TRADER AND HIS COMPANY CHARGED WITH TAKING AS MUCH AS $494,000 FROM INVESTORS; CFTC Also Charges Defendants With Giving Investors False Account Statements Showing Profitable Trading When the Defendants Were Losing Money
09/26/2002
SISTER OF A FORMER EMPLOYEE OF A CHICAGO COMMODITY FIRM AGREES TO TURN OVER MONEY HER BROTHER GAVE HER AS PART OF HIS FRAUDULENT SCHEME; CFTC Also Obtains Default Judgment Against Other Remaining Relief Defendants
09/25/2002
TWO TEXAS MEN SETTLE FEDERAL CHARGES OF FRAUDULENT COMMODITY SCHEME; CFTC Imposed Penalties and Trading Bans
09/19/2002
FLORIDA RESIDENT CHARGED WITH SWINDLING AT LEAST $10.6 MILLION FROM INVESTORS AND SPENDING MONEY ON LAS VEGAS JUNKETS, AIRPLANE CHARTERS, HOMES, AND AUTOMOBILES, CFTC Charges Donald C. O'Neill and His Companies with Fraudulent Solicitation and Misappropriation in Connection With Purported Foreign Currency Hedge Funds
09/13/2002
ATLANTA INVESTMENT FIRM AND ITS CHIEF EXECUTIVE OFFICER CHARGED WITH SOLICITING OVER $400,000 FROM CUSTOMERS TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; Government Obtains Federal Court Order Preventing Defendants from Offering Illegal FOREX Contracts and Freezing Assets of Defendants Advent Capital Partners, Ltd. and Samuel Daley
09/12/2002
FORMER EMPLOYEE OF AVISTA ENERGY, INC. SETTLES MANIPULATION CHARGES; CFTC Orders Robert Kristufek To Pay $155,000 Civil Monetary Penalty and Imposes Two-Year Trading Ban
09/04/2002
ILLINOIS MAN AND HIS FIRM CHARGED WITH SWINDLING OVER $1.4 MILLION IN COMMODITY FRAUD; CFTC Charges John Martin Lofgren and Melrose Asset Management With Fraud
09/04/2002
CALIFORNIA DEFENDANTS SETTLE CFTC COMPLAINT ALLEGING COMMODITY OPTIONS FRAUD; Madison Financial Group, LLC, and Its President and a Principal, Richard A. Cohen, Are Permanently Barred From Trading Commodity Futures and Options
09/03/2002
GEORGIA CORPORATION AND TWO INDIVIDUALS CHARGED WITH FRAUDULENTLY OFFERING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES CONTRACTS; CFTC Obtains Federal Court Order Freezing Assets of Global Financial Consulting, Inc., Wook Hyun Kim, and Chang H. Lee
09/03/2002
SOUTHERN CALIFORNIA FOREIGN CURRENCY TRADING OPERATORS CHARGED WITH SELLING ILLEGAL FOREIGN CURRENCY (FOREX) FUTURES: CFTC Charges Nawab Ali Khan Ali, Mega Trend 2000, Inc., Sterling FX International LLC, and Roger Barreto, All Operating Out of Glendale, California