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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 Chairman Newsome to Address ABA Meeting , Advisory 07-02 |
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CFTC Publishes Privacy Brochure for Financial Intermediaries , 4604-02 |
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CFTC Provides Annual Report Guidance to Commodity Pool Operators , 4603-02 |
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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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CFTC's Division of Trading and Markets Gives Additinal Relief to Firms Affected by 9/11 , 4601-02 |
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CFTC Announces Agency Restructuring , 4600-02 |
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CFTC Chairman Newsome Testifies before Senate Energy Committee , 4599-02 |
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The CFTC and the China Securities Regulatory Commission Sign Memorandum of Understanding , 4598-02 |
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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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Newsome to Chair Ag Advisory Committee , 4596-02 |
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CFTC Recognizes Norwegian Clearinghouse for OTC Derivatives , 4595-02 |
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James E. Newsome Sworn In as CFTC Chairman , 4594-01 |
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Joint Press Release by SEC and CFTC , 4593-01 |
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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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CFTC's Futures and Options Combined Commitments of Traders Report Now Available Weekly , 4591-01 |
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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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Options Clearing Corporation Approved to Clear Commodity Futures , 4589-01 |
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CFTC Announces New Temporary Location for Its New York Regional Office , 4588-01 |
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CFTC's Technology Advisory Committee Subcommittees Release Interim Reports , 4587-01 |
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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 Issues Consumer Advisory Warning the Public About Commodity Scams Arising Out of The Tragic Events of September 11, 2001 , 4584-01 |
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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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CFTC's Technology Advisory Committee to Meet in Chicago on November 27, 2001 , 4581-01 |
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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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CFTC Recognizes First Offshore Clearinghouse Under CFMA , 4579-01 |
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CFTC and SEC Extend Comment Periods for Joint Rules Relating to Margin Requirements and Treatment of Customer Funds for Security Futures Products to December 5, 2001 , 4578-01 |
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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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CFTC Adopts Rules on Listing Standards and Conditions for Trading Futures Products , 4576-01 |
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CFTC Adopts More Flexible Regulations for Intermediaries , 4575-01 |
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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's Division of Trading and Markets Clarifies Certain Exemptive Relief , Advisory 42-01 |
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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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CFTC Requests Records Search by Futures-Related Entities Following Attacks , 4572-01 |
