|
Merrill Lynch International, Inc. and Merrill Lynch Pierce Fenner & Smith (Brokers & Dealers), Ltd. Pay $15 Million to Settle Charges of Aiding and Abetting Manipulation of the Copper Market, , 4284-99
|
|
CFTC Files Complaint Against Kent C. Calhoun of Hunt, Texas, Alleging That He Committed Fraud in Using the CFTC's Name to Solicit Customers to Purchase His Commodity Trading Systems and Attend his Commodity Trading Seminars; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties, 4283-99
|
|
CFTC Accepts Settlement Offer of Selwyn "Sy" Gaiber; CFTC Settlement Order Finds that Gaiber Acted as an Unregistered CTA and Failed to Deliver Disclosure Documents and to Disclose His Past Performance Record, , 4282-99
|
|
CFTC Institutes Administrative Proceedings Against and Accepts Offer of Settlement from Ross R. Godres of Lafayette, Colorado; CFTC Finds that Godres Defrauded Investors By Concealing Losses Resulting From the Trading of Precious Metal Futures Contracts on Behalf of a Commodity Pool, and Orders Restitution to Defrauded Investors, Among Other Sanctions, 4281-99
|
|
North Carolina Court Issues Preliminary Injunction in CFTC Action Charging Donald Trivette With Defrauding Investors and Misappropriating Investor Funds, 4280-99
|
|
georgia Court Orders Payment of Over $11.5 Million and Permanent Injunction In Default Order Against Estate of Donald B. Chancey, Southeastern Venture Partners Group, in Commodity Pool Fraud Case, 4278-99
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
CFTC Obtains restraining order against Joseph P. McGivney, Sr., Edwin A. Koziol, Jr. and six corporations in Illinois accused of Commodity Fraud, 4254-99
|
|
CFTC Files Enforcement Action Alleging Commodity Options Fraud Against Wellington Financial Groups, Inc., 4250-99
|
|
CFTC Issues an Order Instituting Proceedings and Accepts Settlement Offer from Peter D. Hoffman, 4249-99
|
|
CFTC Files Statutory Disqualification Action Against Atwood Commodities, L.L.C. and Simultaneously Accepts Settlement Offer Placing Restrictions on Atwood's Registration., 4248-99
|
|
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
|
|
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
|
|
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
|
|
CFTC Files Administrative Complaint Against Selwyn "SY" Gaiber of Indian Wells, California, Charging Violations of the Commodity Exchange Act and Commission Regulations, , 4242-99
|
|
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
|
|
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
|
|
CFTC Files Disqualification Actions Against Frank Barbarino and Frank D’Amato, Floor Brokers at the New York Mercantile Exchange, 4237-99
|
|
Florida District Court Orders Over $7.96 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud, 4236-99
|
|
CFTC Adds Robert C. Rossi as Respondent in Enforcement Action, 4235-99
|
|
CFTC Finds That Anthony Myskowski, a Floor Broker at the Coffee Sugar COCOA Exchange, is Subject to Statutory Disqualification And Issues Order on Consent Restricting Myskowski's Registration, 4233-99
|
|
CFTC Files Disqualification Action Against Michael H. Varner, a Floor Broker at The New York Board of Trade, 4232-99
|
|
CFTC Files Administrative Complaint Against Farmers Cooperative Company And Three Employees Charging Violations Of The Commodity Exchange Act And Regulations, 4230-99
|
|
CFTC Finds That The Andersons, Inc. Of Maumee, Ohio, Offered To Enter And Entered Into Illegal Futures And Option Contracts; CFTC Order Accepting Settlement Offer Finds Convertible HTA Contracts and Option Features Contracts Violated the Commodity Exchange Act, , 4229-99
|
|
Oklahoma District Court Orders $3.4 Million Restitution Payment and Bars Former Tulsa Resident, Richard Conroy Bell, From the Commodity Futures Industry for Commodity Pool Scheme, 4227-99
|
|
New York Court Orders Defendants to pay over $7.1 Million in Civil Penalties, and Orders Restitution in Excess of $2.3 Million to Customers in CFTC Action Involving Illegal Foreign Currency Futures Fraud, 4224-99
|
|
CFTC Files Complaint Charging New York Currency Research Corporation with Failure to Produce Books and Records, 4089-97 (CFTC Docket #98-3)
|
|
CFTC Files Administrative Complaint Against Reifler Trading Corp., Liberty Futures, Inc., and Three Individuals Alleging Unregistered "Correspondent" Relationships, Among Other Violations of Federal Commoidty Law and CFTC Regulations, , 4088-97 (CFTC Docket #98-2)
|
|
Ohio Court Permanently Bars Allied Financial Group, Inc (AFG) of Powell, Ohio, and Robert Bobo from the Futures Industry; AFG and Bobo Agree to Pay Restitution to Defrauded Investors, 4086-97 (C2-94-981)
|
|
CFTC Files Civil Action Against James M. Zoller and Tech-Comm Limited Partnerships For Fraud: Court Issues Preliminary Injunction , 4083-97 (Civ 97-5691)
|