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CFTC Issues Order Regarding Access to Automated Boards of Trade , 4274-99 |
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CFTC Names David D. Spears Acting Chairman , 4273-99, |
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CFTC Cancels June 3rd Open Meeting on Access to Automated Boards of Trade , 4272-99 |
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New York Court Orders Defendants (New York Currency Exchange Corp., New York Currency Research Corp., and Michael T. Matejka) to Pay Over $8.1 Million in Civil Monetary Penalties and Orders Restitution of More Than $2.7 Million to Customers in CFTC Illegal Foreign Currency Futures Fraud Action; CFTC's 1998 Anti-Fraud Enforcement Action Alleged that the Defendants Cheated and Defrauded Customers Out of Over $3.5 Million , 4271-99 |
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Phyllis Cela Appointed Acting Director of Enforcement , 4270-99 |
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CFTC Reduces Rules on Contract Applications , 4268-99 |
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CFTC Adopts Amendments to Its Rules Governing Registration, Exemption and Disclosure by IBs, CPOs and CTAs Trading Foreign Futures and Option Contracts , 4267-99 |
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CFTC Files and Settles Action Against REFCO, Inc. for Order-Taking and Recordkeeping Violations and for Failing to Supervise; Company Ordered to Pay $7 Million, Including $1 Million To Fund An Industry Study, And to Cease And Desist From Further Violations, and to Conduct an Internal Review Concerning Refco's Compliance Policies and Procedures , 4269-99 |
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CFTC Issues Final Rules Amending Its Recordkeeping Requirements , 4266-99 |
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CFTC Obtains Preliminary Injunctions Against All Defendants, EuroPacific Equity & Capital Management, Ltd., Tortola Corporation Company, Ltd., International Investment Group, Ltd., David Michael Loyd, and Richard Tichy, in CFTC Enforcement Action Alleging Fraud , 4264-99 |
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CFTC Streamlines Speculative Position Limit Rules , 4263-99 |
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North Carolina Court Issues Asset Freeze and Temporary Restraining Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette with Defrauding Customers by Misrepresentations and Misappropriation of Investor Funds , 4262-99 |
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<p align="left">CFTC's Global Markets Advisory Committee to Meet on May 12, 1999, , 4261-99 |
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CFTC Finds That Earl A. Pedersen, a Floor Broker at the Coffee Sugar Cocoa Exchange, is Subject to Statutory Disqualification and Issues Consent Order Restricting Pedersen's Registration , 4260-99 |
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Tennessee District Court Enters Asset Freeze Order Against Edwin Jay Sheldon, Applied Capital Management, LLC., and Charles Edward Powell in CFTC Enforcement Action Alleging Commodity Pool Fraud , 4259-99 |
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<div align="left"> CFTC Extends Comment Period for Proposed Rules Concerning Access to Automated Boards of Trade, , 4258-99 |
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CFTC Obtains Restraining Order in Civil Action Against Donald E. James and Donald James, Inc. of georgia Alleging Commodity Pool Fraud; Complaint Alleges That Defendants Operated a $5 Million Ponzi Scheme Over a Four-Year Period , 4257-99 |
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<div align="left"> CFTC's Agricultural Advisory Committee to Meet on April 21, 1999, , 4256-99 |
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<div align="left"> Applicability of New Definitions of "Exemptive," "No-Action" and "Interpretative" Letters, , 16-99 |
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North Carolina Court Enters Documents Freeze Order in CFTC Action Charging Commodity Pool Fraud; CFTC Charges Donald Trivette of North Carolina with Defrauding Investors by Misrepresentations and Misapproiation of Investor Funds , 4255-99 |
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CFTC Obtains restraining order against Joseph P. McGivney, Sr., Edwin A. Koziol, Jr. and six corporations in Illinois accused of Commodity Fraud , 4254-99 |
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CFTC Notifies the Minneapolis Grain Exchange of Its Results of a Rule Enforcement Review, , 4253-99 |
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<div align="left"> CFTC Announces Roundtable on Proposed Rules on Access to Automated Boards of Trade, , 4252-99 |
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<div align="left"> Commodity Futures Trading Commission Furthers Education Initiative Related to Agricultural Trade Options, <u> , 4251-99 |
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CFTC Files Enforcement Action Alleging Commodity Options Fraud Against Wellington Financial Groups, Inc. , 4250-99 |
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CFTC Issues an Order Instituting Proceedings and Accepts Settlement Offer from Peter D. Hoffman , 4249-99 |
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CFTC Files Statutory Disqualification Action Against Atwood Commodities, L.L.C. and Simultaneously Accepts Settlement Offer Placing Restrictions on Atwood's Registration. , 4248-99 |
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<div align="left"> CFTC Approves Order Exempting Certain Swap Agreements Submitted for Clearing Through SwapClear from Most Provisions of the Commodity Exchange Act, , 4247-99 |
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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 |
