09/19/2000
ILLINOIS COURT ENTERS CONSENT ORDERS OF PERMANENT INJUNCTION AGAINST RANDALL WILLIAMS AND TERRY G. WIGTON IN CASE INVOLVING A FRAUDULENT COMMODITY POOL SCHEME; Williams and Wigton Are Barred From the Commodities Industry and Ordered to Pay Restitution and Disgorgement Amounts Totaling More than $1.5 Million
09/07/2000
CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST PEREGRINE FINANCIAL GROUP, INC., IN CONNECTION WITH FINANCIAL VIOLATIONS; CFTC Orders Peregrine To Pay a $90,000 Civil Monetary Penalty and Comply With Various Undertakings
09/07/2000
CFTC CHARGES LEONARD G. NAUMAN, EDWARD STEVENSON KIRRIS , III, WILLIAM J. RELF, PENSION AMERICA, INC. , FUTURES PROFIT MAKING, LLC., SELECTIVE FUTURES MANAGEMENT, LLC., SPECIALIZED COMMODITY TIMING, LLC., AND COMMODITY TIMING SPECIALISTS, LLC., WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS COMMODITY POOL OPERATORS; The Complaint Alleges that Nauman, Kirris, and Relf Pooled at least $600,000 From Approximately 36 Investors Mostly in the Minneapolis and Brainerd, Minnesota Areas; Court Issues An <i>Ex parte</i> Restraining Order Freezing Defendants' Assets and Prohibiting the Destruction of Documents
09/07/2000
CFTC FILES FIVE ENFORCEMENT ACTIONS ALLEGING THE FRAUDULENT PROMOTION OF COMMODITY TRADING SYSTEMS OVER THE INTERNET; CFTC Actions Are Part of Initiative To Clean Up Fraudulent Internet Web Sites
09/07/2000
CFTC FILES ANTI-FRAUD ENFORCEMENT ACTION AGAINST RICHARD A. VIELE, BERNADETTE FLAVELL, KEVIN KATES, AND SYSTEMS OF SUCCESS -- ALL OF FLORIDA; CFTC Alleges that Viele, Flavell, Kates and Systems of Success Fraudulently Misrepresented the Profitability and Performance Records of Various Futures Trading Systems Developed and Marketed by Them
08/31/2000
CFTC ACCEPTS SETTLEMENT OFFER OF FORMER REFCO FLOOR BROKER CONSTANTINE MITSOPOULOS IN CONNECTION WITH SUPERVISION AND RECORDKEEPING VIOLATIONS; CFTC Orders Mitsopoulos to Pay A $1,000,000 Civil Monetary Penalty And To Comply With His Undertakings, Including Never To Seek Registration With the CFTC
08/29/2000
U.S. DISTRICT COURT IN WEST VIRGINIA ENTERS ORDER OF PRELIMINARY INJUNCTION AGAINST ROBERT L. DORMAGEN AND DELTA FINANCIAL CORPORATION IN CFTC ANTI-FRAUD ENFORCEMENT ACTION
08/22/2000
CFTC CHARGES STEPHEN W. BROCKBANK, CAROL J. LOVE, AND BIRMA LTD., OF UTAH WITH COMMODITY POOL FRAUD AND FAILURE TO REGISTER AS COMMODITY POOL OPERATORS
08/14/2000
CFTC ACCEPTS SETTLEMENT OFFERS OF CURTIS McNAIR ARNOLD AND LONDON FINANCIAL, INC. IN CASE INVOLVING THE FRAUDULENT SOLICITATION OF CLIENTS; Arnold Is Ordered To Pay A $100,000 Civil Monetary Penalty, Among Other Sanctions
08/07/2000
CFTC FILES AND SETTLES ENFORCEMENT ACTION AGAINST REGISTRANTS JOSEPH FRAITES, MICHAEL MARTIN, MARK MUELLER, AND ALFRED ZAMOJCIN IN CASE INVOLVING THE FAILURE TO OBTAIN AND RECORD ACCOUNT IDENTIFICATION IMMEDIATELY UPON RECEIPT OF CUSTOMER ORDERS; The CFTC Order Imposes Civil Monetary Penalties Aggregating $35,000 and Restricts Respondents' Registrations
