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CFTC Obtains Federal Court Order Freezing Assets of FX Trading, LLC of Iselin, New Jersey, and Charges Firm with Failing to Maintain Minimum Net Capital Requirements for Registered Futures Commission Merchants, 5144-05
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Washington State Commodity Advisory Firm Trade Risk Management and Firm President James Maggio Charged With Fraud, 5142-05
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Illinois Federal Court Requires Canadian Commodity Pool Operator Kevin J. Steele To Pay Over $7 Million In Restitution To Defrauded Investors In CFTC Enforcement Action, 5139-05
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CFTC Orders Shahrokh Nikkhah to Pay a $200,000 Civil Monetary Penalty in Fraudulent Trade Allocation Case, 5137-05
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CFTC FILES FRAUD ACTION AGAINST HEDGE FUND OPERATED BY LAKE DOW CAPITAL; Federal Court Freezes Assets of Hedge Fund and its Operator, 5135-05
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U.S. DISTRICT COURT FREEZES ASSETS OF SOUTH FLORIDA FOREIGN CURRENCY FIRM MADISON FOREX INTERNATIONAL BASED ON FRAUD ALLEGATIONS BY U.S. COMMODITY FUTURES TRADING COMMISSION, 5134-05
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CFTC OBTAINS FEDERAL COURT ORDER FREEZING ASSETS OF BULGARIAN WEBSITE OWNER IN FOREIGN CURRENCY FRAUD ACTION; CFTC Charges Marin Illiev Yanev with Fraudulent Solicitation of Customers Through His Websites, 5132-05
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CFTC CHARGES FLORIDA BUSINESS INTERNATIONAL CURRENCY EXCHANGE, INC. AND ITS PRINCIPALS WITH $900,000 FOREIGN CURRENCY OPTIONS SCAM; CFTC Alleges that International Currency Exchange, Inc., Michael Cottec, John Aucella, and Eugene Aucella Fraudulently Solicited Customers; Worldwide Clearing, LLC Also Charged, 5131-05
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CFTC CHARGES NORTH CAROLINA RESIDENT JOHN POOLE WITH FRAUD; CFTC Alleges that Poole, as a Commodity Trading Advisor, Made False Representations on His Website Regarding the Profitability of His Commodity Trading System, 5130-05
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CFTC BRINGS FRAUD CHARGES AGAINST SOUTH AFRICAN RESIDENT JAMES DE WET WHO OPERATES COMPANY TEAM FOREX INTERNATIONAL AND WEBSITE; CFTC Alleges That de Wet, Doing Business As Team Forex International, Misrepresented His Trading Track Record, 5126-05
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CFTC CHARGES TWO GEORGIA CORPORATIONS AND FIVE OTHERS IN $4.6 MILLION COMMODITY OPTIONS FRAUD SCHEME; CFTC Complaint Names American Derivatives Corp., Brokerage Management Corp., Layne David Gerstel, Devereux Decatur Booth and David N. Mittler as Participants In Alleged Fraudulent Solicitations Of More Than 274 Customers; Futures Commission Merchants National Commodities Corp., Inc. and International Commodity Clearing, LLP Also Charged; Court Enters Asset Freeze Order, 5125-05
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CFTC ASSESSES PENALTIES AGAINST IRISH COMPANY TRADE EXCHANGE NETWORK LIMITED FOR OFFERING ILLEGAL COMMODITY OPTION CONTRACTS; Trade Exchange Network Cooperates with Federal Investigation and Agrees to Pay Civil Penalty of $150,000, 5124-05
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Hedge Fund Operator Bayou Management, Its Employees Samuel Israel III And Daniel E. Marino, And Accounting Firm Richmond Fairfield Associates, Are Charged With Misappropriation And Fraud In An Action Brought By U.S. Commodity Futures Trading Commission, 5121-05
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CFTC CHARGES OHIO FUTURES BROKER TODD DELAY WITH MANIPULATION OF THE FEEDER CATTLE MARKET; CFTC Action Also Charges Nebraska Feedlot Managers Jack McCaffery and John Lawless with Assisting Scheme by Delivering False Cattle Sales Reports to USDA, 5120-05
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CFTC ALLEGES THAT NEVADA RESIDENT BERNADETTE FLAVELL VIOLATED A COMMISSION ORDER BY PROVIDING FALSE INFORMATION, 5116-05
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CFTC CHARGES NEW YORK HEDGE FUND, LINUXOR ASSET MANAGEMENT, AND ITS PRINCIPAL, ABBAS A. SHAH, WITH FRAUD; CFTC Alleges that Linuxor and Shah Defrauded Fund Participants by Failing to Send Them Required Periodic Statements and by Misrepresenting the Value of the Fund; Defendants Also Charged With Failure to Send Timely Required Annual Reports to the National Futures Association, 5115-05
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CFTC CHARGES FORMER HEAD OF NATURAL GAS TRADING DESK AT AEP ENERGY SERVICES, INC. WITH ATTEMPTED MANIPULATION AND FALSE REPORTING; Joseph P. Foley Allegedly Directed the Submission of Thousands of False Reports About Natural Gas Trades to Skew Natural Gas Indexes, 5114-05
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CFTC ASSISTS IN SUCCESSFUL CRIMINAL PROSECUTION OF STUART MICHAEL HELFFRICH, Convicted of Wire Fraud and Fraudulent Conversion of his Customers' Commodity Futures Positions, 5113-05
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CFTC FREEZES OVER $1.5 MILLION OF HEDGE FUND'S ASSETS IN FRAUD CASE; CFTC Charges Stuart Pippin, Individually And Doing Business As Pippin Investments, With Fraud For Issuing False Trading Results To Pool Participants, 5112-05
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CFTC Fines Foreign Futures and Options Broker Credit Lyonnais Rouse Limited for Entering Illegal, Prearranged Futures Trades on U.S. Markets, 5111-05
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CFTC SUES FORMER BROOKLYN RESIDENT DAWN MUSOROFITI FOR COMMODITIES FRAUD; CFTC Alleges That Musorofiti Defrauded Customers By Promising Large Profits Without Risk and Pretending to Be a New York Mercantile Exchange Broker, 5109-05
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HAWAIIAN RESIDENT BARRY SCHOTZ ORDERED TO PAY $4.5 MILLION IN SETTLEMENT OF CFTC FRAUD ACTION; Court Also Enjoins Los Angeles-Area Resident Randolph Gale in Same Commodity Pool Fraud Scheme, 5107-05
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CFTC Revokes Registration of Palomino Capital Management, A Commodity Pool Operator in Pittsburgh, Pennsylvania, 5106-05
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CFTC SUSPENDS AND RESTRICTS REGISTRATION OF CHICAGO MERCANTILE EXCHANGE TRADER DEAN KAULENTIS; Cattle Trader's Registration Suspended for Six Weeks and Then Restricted for Three Years, 5105-05
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CFTC BRINGS FRAUD CHARGES AGAINST FLORIDA FATHER AND SON, JACK AND CHRIS SMITHERS; CFTC Alleges That Jack and Chris Smithers, and Their Company, Prosperity Consultants, Inc., Fraudulently Solicited Customers to Trade Commodity Futures Contracts; Chris Smithers Also Charged With Breach of Prior Injunction, 5104-05
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CFTC CHARGES FLORIDA FOREIGN CURRENCY FIRM PRESIDENTIAL FX, INC. AND TWO EMPLOYEES WITH FRAUD; CFTC Alleges That Firm and Employee Joseph Marchiano Fraudulently Solicited Customers to Trade Foreign Currency Options; Adam León is Charged as a Controlling Person of Presidential, 5102-05
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CFTC CHARGES OXNARD, CALIFORNIA RESIDENT BRETT E. LOVETT WITH DEFRAUDING COMMODITY FUTURES CUSTOMERS; CFTC Alleges Lovett Cheated Fellow Church Member; Federal Court Issues Order Freezing Defendant's Assets , 5101-05
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CFTC AND STATE OF CALIFORNIA CHARGE SAN FRANCISCO FOREIGN CURRENCY FIRM NATIONAL INVESTMENT CONSULTANTS, INC. AND OTHER COMPANIES AND INDIVIDUALS WITH FRAUD; Federal Court Freezes Assets of National Investment Consultants, Inc.; South China Investments, Inc.; Pacific Best Group Limited, a.k.a. Pacific Best Company Ltd.; Run Ping Zhou, a.k.a Flora Zhou; Yi Kerry Xu; and Wei M. Tse, a.k.a. Raymond Tse, 5099-05
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U.S. COMMODITY FUTURES TRADING COMMISSION CHARGES IOWA MAN WITH FRAUD; CFTC Alleges that Victor Lochmann Misappropriated Customer Funds and Engaged in Unauthorized Trading , 5098-05
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FEDERAL COURT ENTERS JUDGMENTS AGAINST MICHIGAN AND NEW JERSEY RESIDENTS AND TWO PANAMANIAN COMPANIES IN MARQUIS COMMODITY POOL FRAUD CASE; Court Orders Payments To Customers And Penalties Totaling More Than $2.5 Million, 5096-05
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CFTC OBTAINS PRELIMINARY INJUNCTION PREVENTING FLORIDA COMMODITY TRADING FIRM, UNITED INVESTORS GROUP, INC. AND FIVE EMPLOYEES, FROM VIOLATING THE COMMODITY EXCHANGE ACT; Nearly 98 Percent Of Accounts Opened At UIG Between August 2003 And June 2004 Lost Money Trading Commodity Options; Customers Lost More Than $6.1 Million, While UIG Charged Over $4.25 Million In Commissions And Fees, 5095-05
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CFTC CHARGES ILLINOIS RESIDENT CAMERON CHARLES WITH DEFRAUDING HIS EMPLOYER, WATSEKA FARMERS GRAIN CO. COOPERATIVE, 5094-05
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U.S. COMMODITY FUTURES TRADING COMMISSION SANCTIONS UK AND GERMAN TRADING COMPANIES FOR ILLEGALLY PREARRANGING FUTURES TRADES THAT REPRESENTED FICTITIOUS SALES ON U.S. MARKETS, 5093-05
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FEDERAL COURT FREEZES ASSETS OF FIVE FLORIDA FOREIGN CURRENCY (FOREX) BOILER ROOMS AND FIVE INDIVIDUALS CHARGED WITH DEFRAUDING CUSTOMERS OF OVER $17 MILLION; U.S. Commodity Futures Trading Commission Charges Fraudulent Solicitation of Customers to Trade Foreign Currency Options Contracts By Defendants World Market Advisors, Inc., U.S. Capital Management, Inc., United Equity Group, Inc., Liberty One Advisors, LLC, Lighthouse Capital Management, LLC, Jason T. Dean, Steven D. Knowles, Paul F. Plunkett, Joseph D. Valko and Jeffrey Paul Jedlicki; Universal Options, Inc., Qualified Leverage Providers, Inc. and Safeguard FX, LLC Also Charged With Liability As Principals; Complaint Charges More Than 96 Percent of Customers Lost Money While Paying Defendants $8.6 Million in Commission, 5092-05
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CFTC OBTAINS FEDERAL COURT FREEZE OF ASSETS OF PHILADELPHIA COMPANY AND ITS PRESIDENT IN FRAUD ACTION INVOLVING HEDGE FUND AND $230 MILLION COMMODITY POOL; CFTC Charges Philadelphia Alternative Asset Management Co., LLC, And Its President, Paul M. Eustace, With Issuing False Trading Results To Pool Participants; National Futures Association Assists CFTC In Its Action, 5091-05
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FEDERAL COURT FREEZES ASSETS OF FLORIDA ILLEGAL OFF-EXCHANGE METALS OPTIONS FIRM AND TWO CORPORATE OFFICERS; CFTC Charges E-Metal Merchants, Inc., Benji Dayan, And Andrew Stern With Illegal Metals Options Trading , 5089-05
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CFTC CHARGES FLORIDA FIRM COMMODITY INVESTMENT GROUP AND ITS PRINCIPALS WITH FRAUD RESULTING IN OVER $9 MILLION IN LOSSES TO CUSTOMERS; CFTC Alleges That Linda and Michael Kuhney Fraudulently Solicited Customers To Trade Commodity Options Contracts, 5088-05
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