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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
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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
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North Carolina Court Issues Preliminary Injunction in CFTC Action Charging Donald Trivette With Defrauding Investors and Misappropriating Investor Funds, 4280-99
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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
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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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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 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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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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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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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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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 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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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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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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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
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CFTC Files Disqualification Actions Against Frank Barbarino and Frank D’Amato, Floor Brokers at the New York Mercantile Exchange, 4237-99
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Florida District Court Orders Over $7.96 Million in Disgorgement from Marc Stephen Wuensch for Commodity Options Fraud, 4236-99
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CFTC Adds Robert C. Rossi as Respondent in Enforcement Action, 4235-99
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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
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CFTC Files Disqualification Action Against Michael H. Varner, a Floor Broker at The New York Board of Trade, 4232-99
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CFTC Files Administrative Complaint Against Farmers Cooperative Company And Three Employees Charging Violations Of The Commodity Exchange Act And Regulations, 4230-99
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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
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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
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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
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CFTC Files Complaint Charging New York Currency Research Corporation with Failure to Produce Books and Records, 4089-97 (CFTC Docket #98-3)
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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)
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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)
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CFTC Files Civil Action Against James M. Zoller and Tech-Comm Limited Partnerships For Fraud: Court Issues Preliminary Injunction , 4083-97 (Civ 97-5691)
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CFTC Charges Florida Companies, Three Principals, With Nationwide Telemarketing Scheme Involving Illegal Off-exchange Futures Contracts in Precious Metals, Heating Oil, Other Commodities , 4082-97 (Civ 97-7422)
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Florida Court Finds Richard E. Maseri in Contempt for His Transfer of Frozen Assets in Violation of Consent Order of Preliminary Injunction; Maseri Is Ordered to Pay $33,000, 4081-97 (Civ 95-6970)
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