|
5-Year Trading Ban, and Cease and Desist Order Against Zoltan (Lou) Guttman of New York. , #3940-96 Full text of Initial Decision |
|
CFTC Chairperson Born Welcomes Release of Final Windsor Co-chair Report , #3939-96 |
|
The CFTC and the New Zealand Securities Commission Sign MOU , #3938-96 |
|
The CFTC Announces Further International Cooperation , #3937-96 |
|
David D. Spears Sworn in as CFTC Commissioner , #3936-96 |
|
Two Unregistered Commodity Trading Advisors Operating Over the Internet Halted From Violating Federal Commodity Laws , #3935-96 J. Spencer Brown Steven J. Marks |
|
Brooksley E. Born Sworn in as CFTC Chairperson , #3934-96 |
|
CFTC Files Anti-fraud Action Against a Turlock, California Commodity Pool Operator, Everett Scott Hobbs dba Commodity Futures Investment , #3933-96 |
|
Results of a NYMEX Recent Rule Enforcement Review , #3932-96 |
|
Commodity Futures Trading Commission Releases Report on status of Audit Trails at U.S. Exchanges and Results of Exchange Audit Trail Re-tests , #3931-96 |
|
CFTC's Division of Enforcement Sets Up Interactive Internet Enforcement Webpage, Linked to the CFTC Home Page , #3930-96 |
|
CFTC Files Four-Count Complaint And Obtains Preliminary Injunction Against Thomas J. Deniz of Modesto, California , #3928-96 |
|
Advisory: Responsibilities of Futures Commission Merchants and Relevant Depositories with Respect to Third Party Custodial Accounts , #37-96 |
|
Florida Court Enters CFTC Settlement Order with Concorde Trading Group , #3927-96 |
|
CFTC Approves Ammended Stock Index Futures Price Limits , #3926-96 |
|
CFTC Files Nine-Count Complaint And Obtains Preliminary Injunction Against Edward W. Schroeder, The Edward W. Schroeder Living Trust, And Andre D. Fite of Santa Monica and Los Angeles, California , #3925-96 |
|
Florida District Court Issues Orders of Disgorgement Against Rev. Gary A. Smith & Jay Blevins, Defendants in CFTC Anti-Fraud Action , #3924-96 |
|
Illinois Court Issues Permanent Injunction in CFTC Anti-fraud Action Against Zebedee McLaurin, V., of Chicago Requiring Restitution of Customer Funds, Among Other Sanctions , #3923-96 |
|
CFTC Order Imposes $600,000 Civil Penalty Against Fenchurch Capital Management Inc. of Chicago, In Connection with Market Manipulation and Cornering , #3922-96 Full text of the Commission's Action |
|
CFTC Charges Oster Communications, Inc. d/b/a Future Source With Committing Fraud and With Registration Violations in Connection With Sale and Marketing of JDI Limited's "Micro-Trading System" , #3921-96 Full text of the Commission's Action |
|
CFTC Will Hold a Day-Long Interactive Symposium on Internal Controls and Risk Management Practices on June 24th , #3920-96 |
|
The Execution By Brazil Regulatory Agency Of The Declaration of Cooperation and Supervision of International Futures Exchanges and Clearing Organizations , #3819-96 |
|
CFTC Statement Concerning the Copper Market , #3918 |
|
New York Court Refuses to Enjoin CFTC Investigation In Response to a Motion Filed by Avxo Financial Corporation # , 3917-96 |
|
CFTC Judge Finds that Solomon Mayer Committed Fraud by Bucketing Customer Orders # , 3916-96 |
|
CFTC Judge Orders Penalties Against Michael Staryk # , 3915-96 |
|
Texas Court Issues Preliminary Injunctions Against Christopher C. Schafer, A.R.S. Financial Services, Peter J. Urbani, and Alchemy Financial Group, All Charged In CFTC Enforcement Action # , 3914-96 |
|
Advisory: Electronic Filing of Financial Reports , #28-96 |
|
Advisory Committee on CFTC-State Cooperation , #3913-96 |
|
Washington State Commodity Pool Operator, Ken Willey, Held in Contempt of Court for Refusing to Reveal Location of Commodity Pool Assets # , 3912-96 |
|
CFTC's Division of Economic Analysis Issues Satements of Policy and Guidance Relating to "Hedge-to-Arrive" Contracts , #3911-96 |
|
Advisory Concerning Commission Rule1.33(b) , #22-96 |
|
CFTC'S Agricultural Advisory Committee to Meet on May 8, 1996 , #3910-96 |
|
Colorado Court Issues Preliminary Injunctions Against Brian Prendergast and Joel de Angelis in CFTC Anti-fraud Action Against Prism Financial Corporation of Englewood, Colorado # , 3909-96 |
|
CFTC Approves Final Early Warning Reporting Requirements , #3907-96 |
|
CFTC Releases its Semiannual Futures Commission Merchant (FCM) , #3908-96 |
|
CFTC Files Statutory Disqualification Action Against Patrick D. Kelly, and Simultaneously Accepts His Settlement Offer, Which Includes a Two-Year Period of Conditioned Registration # , 3906-96 |