Displaying results 921 - 930 of 2823
CFTC FILES ENFORCEMENT ACTION CHARGING THAT FLOOR BROKER CONSTANTINE MITSOPOULOS COMMITTED FRAUD WHILE HANDLING CUSTOMER ORDERS; The CFTC’s Action Further Alleges That Mitsopoulos, Margaret Dull, Lisa Budicak, and Richard Marisie Violated Order-Taking and Recordkeeping Requirements In Preparing Customer Orders And That Mitsopoulos Failed to Supervise Diligently Phone Clerks Who Worked For Him
… CFTC FILES ENFORCEMENT ACTION CHARGING THAT FLOOR BROKER … COMMITTED FRAUD WHILE HANDLING CUSTOMER ORDERS; The CFTC’s Action Further Alleges That Mitsopoulos, Margaret …
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CFTC FILES COMPLAINT IN MINNESOTA FEDERAL COURT AGAINST COMMODITY TRADING ADVISOR, PELTON STREET PUBLISHING, INC., AND ITS PRINCIPAL, ROGER MARTIN HOY, CHARGING FRAUD IN SOLICITING CUSTOMERS FOR COMMODITY TRADING COURSE; CFTC Seeks Injunctive and Other Equitable Relief, Including Disgorgement of Ill-Gotten Gains, Restitution to Defrauded Customers, and Civil Monetary Penalties
… CFTC FILES COMPLAINT IN MINNESOTA FEDERAL COURT AGAINST … FRAUD IN SOLICITING CUSTOMERS FOR COMMODITY TRADING COURSE; CFTC Seeks Injunctive and Other Equitable Relief, Including …
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U.S. Commodity Futures Trading Commission Charges Virginia Man and California Corporation with Fraud
… October 12, 2006 U.S. Commodity Futures Trading Commission Charges Virginia Man and California Corporation with Fraud … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the filing of a civil complaint in the … Hayes is Coldwell’s owner and sole employee. The CFTC complaint , filed on September 29, 2006, charges Hayes …
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CFTC Names Paul Hayeck as Acting Director of Division of Enforcement
… of the Division of Enforcement. Hayeck has served at the CFTC for 25 years and has been a deputy director in the … with Paul’s deep expertise and skill since I was a CFTC enforcement intern over 15 years ago,” said Acting … fairness is the kind of strong leadership we need at the CFTC. His accomplishments as Acting Chief of the Complex …
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New York Court Issues Preliminary Injunctions Against William Sanchez and Brian Willis in CFTC Anti-Fraud Enforcement Action, Which Also Charges Worldwide Commodities Ltd. and Templar International Ltd, 4105-98 (97 Civ 5255) , February 12, 1998.
… Injunctions Against William Sanchez and Brian Willis in CFTC Anti-Fraud Enforcement Action, Which Also Charges Worldwide Commodities Ltd. and Templar International …
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History of the CFTC
… History of the CFTC US Futures Trading and Regulation Before the Creation of the CFTC Pre-CFTC // 1970s // 1980s // 1990s // 2000s // 2010s … three onion futures contract months. The complaint charges the respondents with one attempted upward … US Futures Trading and Regulation Before the Creation of the CFTC Pre-CFTC // 1970s // 1980s // 1990s // 2000s // 2010s …
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U.S. Commodity Futures Trading Commission Files and Settles Charges Against Rosenthal Collins Group
… U.S. Commodity Futures Trading Commission Files and Settles Charges Against Rosenthal Collins Group Government Charges … D.C.— The U.S. Commodity Futures Trading Commission (CFTC) today announced the issuance of an order filing and … timely basis and failing to produce trading records to the CFTC upon request. The CFTC order finds that RCG failed to …
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Ask CFTC
… Ask CFTC Contractual Obligations Understanding Commodity Futures … or believe you have been defrauded, please contact the CFTC immediately by calling the CFTC’s Consumer Protection Hotline at 866.366.2382, or … or believe you have been defrauded, please contact the CFTC immediately by calling the CFTC’s Consumer Protection …
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<p>CFTC CHARGES JOHN F. O'HERRON OF ONEKAMA, MICHIGAN, AND O'HERRON ASSET MANAGEMENT, INC. WITH $2.7 MILLION COMMODITY POOL FRAUD; Court Issues Restraining Order Freezing Assets, Barring the Destruction of Books and Records, and Prohibiting Further Violations of Federal Commodity Law,
… CFTC CHARGES JOHN F. O'HERRON OF ONEKAMA, MICHIGAN, AND O'HERRON …
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FLORIDA FEDERAL COURT GRANTS FINAL JUDGMENT BY DEFAULT AGAINST HARTFORD FINANCIAL GROUP, INC.; KERI L. STEWART; AND JOSEPH J. MARCHIANO IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING VIOLATIONS; Order Imposes Permanent Injunctions And Requires Defendants To Pay Civil Monetary Penalties
… GROUP, INC.; KERI L. STEWART; AND JOSEPH J. MARCHIANO IN CFTC ACTION CHARGING REGISTRATION, DISCLOSURE, AND REPORTING …
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