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FLORIDA, LOUISIANA AND GEORGIA FIRMS CHARGED WITH FRAUDULENTLY SOLICITING OVER $1,000,000 FROM CUSTOMERS TO INVEST IN ILLEGAL FOREIGN CURRENCY (FOREX) OPTION CONTRACTS; Government Obtains Federal Court Order Freezing Assets of 19 Individuals and Companies; Related Action Also Filed by Louisiana Attorney General, 4652-02
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Commodity Futures Trading Commission Files Federal Action Against Florida Man For Providing False Information Related to His $6.8 Million Settlement With the Commission, 4651-02
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CFTC Establishes Enron Information Link to Assist the Public in Reporting Suspicious Activities that May Have Affected West Coast Electricity or Natural Gas Prices Involving Enron or Any Other Company, 4646-02
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CFTC Settles Wash Sales Charges Against Texas Broker Ronald Roesler and Illinois Broker David Janson Arising Out of USDA Dairy Options Pilot Program, 4645-02
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FLORIDA FEDERAL COURT REQUIRES DEFENDANTS MICHAEL A. DIPPOLITO; MAD, INC.; AND CTU, INC. TO PAY RESTITUTION TO DEFRAUDED CUSTOMERS IN CFTC ENFORCEMENT ACTION. Court’s Order Also Bars Defendants From Further Fraudulent Conduct and From Trading Commodity Futures or Options, 4641-02
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TEXAS COMMODITY TRADER CHARGED WITH DEFRAUDING CUSTOMERS AND MISAPPROPRIATING CUSTOMER FUNDS. CFTC Charges Dewey V. Wiles and His Company, Futures Exchange Company, Inc., with Fraudulently Soliciting Funds to Trade Commodity Futures, 4639-02
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CFTC Settles Foreign Currency Fraud Case Against Ohio Defendants, 4638-02
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CFTC CHARGES UTAH INVESTMENT FIRM WITH RUNNING A $14.7 MILLION FOREIGN CURRENCY (FOREX) PONZI SCAM; Federal Court Immediately Freezes Assets of 4NExchange, LLC, Paul Grant and Ronald Bassett In Related Action, 4636-02
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CFTC Launches FOREX Warning Advertising Campaign, 4635-02
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U.S. GOVERNMENT AGENCY SETTLES FRAUD CASE AGAINST GEORGIA COMMODITY TRADING ADVISOR WHO WAS A REPEAT OFFENDER; Defendant Ellery Coleman Ordered to Pay a Penalty of up to $170,000, 4634-02
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TEXAS COMMODITY BROKER COMMITTED SOLICITATION FRAUD; In CFTC Action, D. Michael Sheaves Fined $50,000 and Ordered to Pay Restitution for Fraudulently Failing to Advise Prospective Clients of Significant Trading Losses, 4633-02
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CFTC SETTLES COMMODITY FRAUD SOLICITATION CASE AGAINST CALIFORNIA TRADING SYSTEM DEVELOPER; Defendant Abdullah Alsafari Barred from Further Fraudulent Conduct in Violation of Federal Commodities Laws, 4629-02
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FLORIDA COMMODITY TRADING SYSTEM DEVELOPER AND NEW YORK PUBLISHER SETTLE CFTC FRAUD ACTION; CFTC Finds that George Angell, TradeWins Publishing and its President, Stephen Schmidt, Fraudulently Marketed Commodity Trading System, 4628-02
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THREE FORMER EMPLOYEES OF CHICAGO COMMODITY FIRM SETTLE GOVERNMENT ACTION FOR FRAUDULENT TRADING; Defendants Martin Brown, Geoffrey S. Thompson, and Ydiyell Howard Prohibited From Trading in the Commodity Markets, 4626-02
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CFTC SETTLES FRAUD ACTION AGAINST WEST VIRGINIA COMMODITY POOL OPERATOR; Defendants Robert L. Dormagen and Delta Financial Corporation Permanently Barred From Trading Futures or Options, 4624-02
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CFTC SETTLES CHARGES AGAINST MINNESOTA DEFENDANTS IN COMMODITY POOL FRAUD CASE; Leonard Nauman and His Two Companies, Pension America, Inc., and Futures Profit Making, LLC, Are Permanently Barred From Trading For Others, 4623-02
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LOS ANGELES COMMODITY TRADER SETTLES CFTC FRAUD ACTION; Alfred Gladstone Ordered to Pay Up To $171,000 in Restitution and Civil Monetary Penalty Pursuant to Payment Plan and Agrees Never to Seek CFTC Registration, 4622-02
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CFTC FILES ENFORCEMENT ACTION AGAINST FOUR CSCE FLOOR BROKERS, CHARGING THEM WITH UNLAWFULLY TRADING COFFEE FUTURES; Joseph Defrancesco, Ronald Kilbride, and Brian Thornton Charged with Fraud, Bucketing of Customer Orders, and Reporting Non-Bona Fide Prices; Defrancesco, Kilbride, Thornton, and Marc Greenstein Also Face Charges of Noncompetitive Trading, Illegal Wash Sales, and Accommodation Trades, 4621-02
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CALIFORNIA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING MORE THAN $500,000 IN CUSTOMER FUNDS AND VIOLATING PRIOR COMMISSION ORDER; CFTC Charges Mark Ross Weinberg With Fraudulently Soliciting Funds to Trade Commodity Futures; Federal Court Freezes Assets and Bars Destruction of Books and Records, 4619-02
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FLORIDA COMMODITY TRADER CHARGED WITH MISAPPROPRIATING AT LEAST $1 MILLION IN CUSTOMER FUNDS AND VIOLATING PRIOR FEDERAL COURT ORDER; CFTC Charges Thomas Chilcott, Ted Whidden, and Leona Westbrook With Fraudulently Operating Commodities Trading Business Known As Trade Master of Southwest Florida; Federal Court Freezes Assets and Bars Destruction of Books and Records, 4615-02
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CFTC CRACKS DOWN ON FOREIGN CURRENCY SCAMS NATIONWIDE; Nineteen Firms and Individuals Charged in Sweep With Selling Illegal Foreign Currency (Forex) Investments to the Retail Public; Actions Cap First Year of FOREX Initiative Using Reinforced Statutory Authority, 4611-02
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CFTC Warns the Public About Investment Opportunities Promising Large Profits and Little Risk, Even When Offered by Friends and Acquaintances, 4610-02
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FORMER CHIEF OPERATING OFFICER OF A COMMODITY FIRM SETTLES CFTC ACTION CHARGING SUPERVISORY FAILURES; CFTC Finds That Mark Vaughn Failed To Supervise Diligently The Handling Of Foreign Customer Accounts, 4609-02
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FLORIDA COMMODITY TRADING ADVISORS SETTLE CFTC FRAUD ACTION; Defendants Fred and Jeanne Monte Permanently Banned From Trading Futures or Options, 4607-02
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COMMODITY TRADER AND TWO MICHIGAN COMPANIES CHARGED WITH $2.9 MILLION FRAUD; GOVERNMENT ALLEGES FICTITIOUS TRADING; Federal Court Freezes Assets and Bars the Destruction of Books and Records, 4606-02
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NEW YORK COMMODITY BROKER CHARGED WITH ILLEGAL TRADING AND VIOLATION OF A COMMISSION ORDER; CFTC Alleges Branch Manager Patrick Ligammari Engaged in Non-Competitive Trading To Facilitate the Transfer of Over $300,000 Between Two Foreign Accounts, 4605-02
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CFTC SETTLES CASE AGAINST CHICAGO FIRM AND ITS MANAGING DIRECTOR; CFTC finds that Excellent USA and John Gallwas Failed to Supervise the Handling of Foreign Omnibus Accounts; CFTC Revokes Registration of Excellent USA as a Result of the Criminal Conviction of One of its Principals, 4602-02
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INTERNET TRADING SYSTEM PROMOTER CHARGED WITH COMMODITY FRAUD; CFTC Alleges Michael Radcliffe Made False Claims Concerning Profits Generated By His Commodity Trading System, 4597-02
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OHIO COMMODITY TRADER SETTLES POOL FRAUD ACTION; Consent Order with Government Regulator Finds that Defendant Jeffrey T. Bailey Committed Fraud By Diverting Investor Funds For His Own Use and Permanently Bars Him from Futures and Options Trading, 4592-01
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REPUBLIC NEW YORK SECURITIES CORPORATION PAYS $5 MILLION CIVIL MONETARY PENALTY FOR MISLEADING INVESTORS IN COMMODITY FRAUD; CFTC Files and Settles Action Against Republic for Its Role in a Ponzi Scheme That Defrauded Investors World-Wide and Resulted in Losses of Over $700 Million, 4590-01
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Commodity Trading Advisor Settles Government Fraud Charges; CFTC Orders Nicholas J. Nickolaou to Pay Restitution and Penalties For Fraudulently Soliciting the Public to Buy His "Wisdom of the Ages" Trading System, , 4586-01
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CFTC SEEKS TO SUSPEND OR RESTRICT REGISTRATION OF MIDLAND EURO, INC. OF CALIFORNIA; Midland Euro's Membership With the National Futures Association Was Recently Suspended, 4585-01
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CFTC SETTLES FRAUD CASE AGAINST COMMODITY TRADING ADVISORS; CFTC Finds that Currency Trading Systems, its President, Joyce Roeder, and Others Fraudulently Solicited the Public to Attend Commodity Trading Seminars; CFTC Imposes Permanent Trading Ban on Roeder and Company and Orders Payment of Restitution and Penalties, 4583-01
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New York Trader Sued for Defrauding Employer; CFTC Files and Settles Action Against Robert Ryan and Permanently Bans Him from Futures Trading and Fines Him $40,000, 4580-01
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Two Texas Men Sued for Defrauding Former Employer; CFTC Charges Clay Krhovjak and Paul Cochran in Fraudulent Allocation Scheme, 4577-01
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COLORADO MAN BANNED FOR UNAUTHORIZED COMMODITY TRADING; CFTC Imposes Trading Ban on Dale Luther Mock, 4574-01
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CFTC Charges Texas Commodity Broker with Fraud; CFTC Alleges that D. Michael Sheaves Fraudulently Omitted Significant Trading Losses, 4573-01
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