Quatloos! > Investment
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Actions > Archives > 1996
December
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Florida District Court Judge Grants CFTC A Permanent Injunction
Against JDI Limited D/B/A Future Vision, Richard A. Bandemer
And Frederick W. Taft, Banning Defendants From The Futures
Industry And Ordering Disgorgement, Among Other Sanctions #3976-96 (Civ 95-6221) December
3, 1996
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CFTC Files Statutory Disqualification Action Against John
P. Larocque And Simultaneously Accepts His Settlement Offer,
Which Includes A Two-Year Period Of Conditioned Registration #3974-96 (CFTC Docket SD 97-1)
December 2, 1996
November
-
CFTC Seeks Subpoena Enforcement To Compel Testimony And Production
Of Records Related To London Financial, Inc., Of Jupiter, Florida,
And Two Individuals.#3971-96 November 27, 1996
-
CFTC Reaches Settlement With Iowa State Bank & Trust of
Fairfield, Iowa, Which Was Named As A Relief Defendant in a
CFTC Anti-Fraud Action Filed in January 1996 Release #3966-96 (4-96-CV-70005) November
14, 1996
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Florida Federal Court Enters Ex Parte Asset in Joint CFTC-State
of Florida Anti-Fraud Action Against James V. Dowler, Jr. and
Dowler & Beekman Trading Co., LTD, Both of Vero Beach,
Fla. Release:#3964-96 (Civ 96-14284)
November 5, 1996. Also: Full Text of Complaint
October
-
EX PARTE Order Entered By New York Federal Court
Freezes Assets of World Wide Currencies Inc., United Currencies,
And A+ Currencies of New York Release:#3959-96 (96 CIV 7814) (October
17, 1996) Also: Full Text of Complaint
-
CFTC Files Civil Complaint Against Kent Allen Ahrens of York,
Pennsylvania, Alleging Fraud Under the Commodity Exchange Act #3958-96 (October 16, 1996) Also: Full Text of Complaint
-
California Court Issues Permanent Injunctions Against Lida
International Financial Data and Worth Financial Data in Connection
With Illegal Off-Exchange Futures Case, Also Involving Topworth
International of Hong Kong As A Defendant #3955-96 (Civ. No. 94-1256) (October
15, 1996)
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Illinois Court Issues Permanent Injunction Against Robert
A. Besner and New Forest Capital Management, Inc., in 1996
CFTC Anti-Fraud Action;Order Permanently Bars the Defendants
from the Futures Industry #3952-96 (Civ 96C76) (October
8, 1996)
-
Preliminary Injunctions Issued by Arizona Court in CFTC Anti-fraud
Enforcement Action Against United Metals Trading Corp., Western
National Trading and Two of the Firms' Officers 3951-96 (Civ 96-2185) (October
8, 1996)
-
CFTC Files Civil Anti-fraud Charges in Michigan District Court
Against Gary Berus Individually and D/B/A Profit Masters Group,
Meca International, and Patricia Gale #3946-96 (October 1, 1996) Also
Available: Full text of Order
-
CFTC Files Statutory Disqualification Action Against Sanjay
Saxena, a Registered Associated Person, and Select Sector Research
and Management, Inc., a Registered Commodity Trading Advisor
and Commodity Pool Operator, Both of Cary, North Carolina #3945-96 (October 1, 1996)
September
-
Ex Parte Asset Freeze Order Issued by Arizona Court in CFTC
Anti-Fraud Enforcement Action Against United Metals Trading
Corp., Western National Trading, Anthony F. Andrews, & Marvin
C. Pendergraft #3944-96 (September 25, 1996)
-
Deloitte & Touche Agrees To Pay a $100,000 Civil Penalty
to Settle a CFTC Administrative Complaint Filed Against It
and Thomas D. Lux, a Partner in the Accounting Firm #3943-96 (September 25, 1996)
August
-
CFTC Files Anti-fraud Action Against a Turlock, California
Commodity Pool Operator, Everett Scott Hobbs dba Commodity
Futures Investment #3933-96 (CV-F-96-5946) August
15, 1996
-
CFTC Files Four-Count Complaint And Obtains Preliminary Injunction
Against Thomas J. Deniz of Modesto, California #3928-96 August 1, 1996
-
Florida Court Enters CFTC Settlement Order with Concorde Trading
Group #3927-96 (July 23, 1996)
July
-
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 July 16, 1996
-
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 (June 20, 1996) Also
available: Full text of the Commission's Action
-
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 July 11, 1996
-
CFTC Order Imposes $600,000 Civil Penalty Against Fenchurch
Capital Management Inc. of Chicago, In Connection with Market
Manipulation and Cornering #3922-96 July 10, 1996 Also available: Full text of the Commission's Action
June
-
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 June 5, 1996
May
-
Washington State Commodity Pool Operator, Ken Willey, Held
in Contempt of Court for Refusing to Reveal Location of Commodity
Pool Assets #3912-96 May 16, 1996
April
-
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 April 30, 1996
-
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 April 19, 1996
-
CFTC files enforcement action charging David and Mark Sitzmann
and Sitzmann Commodities Inc. with fraudulent trading practices
in the CME'slive cattle and hog futures contract #3904-96 April 18, 1996
-
CFTC files administrative action against three CME floor brokers,
alleging fraudulent trade practice abuse in the live cattle
futures pit #3905-96 April 18, 1996
-
CFTC files civil anti-fraud action against a Washington state
commodity pool operator, Ken Willey #3902-96 April 11, 1996
-
Florida court issues ex parte asset freeze in CFTC anti-fraud
action against Michael Indihar, Robert Hoffman, Computer Warehouse
Inc., and Automated Trading Systems -- all of Florida #3900-96 (April 5, 1996)
-
Forida Court Issues Permanent Injunction Against Keith Dominick
and Main Street Investment Group in 1994 CFTC Anti-fraud Action #3899-96 (April 3, 1996)
-
CFTC and Arizona Corporation Commission file civil anti-fraud
complaint against AYM Financial #3898-96 (April 2,1996)
March
-
CFTC Files Statutory Disqualification Action Against CBOT
Floor Broker, Edgar Clifford Sharp, III, and Simultaneously
Accepts His Settlement Offer, Which Includes a Two-Year Period
of Conditioned Registration #3897-96 (March 21, 1996)
February
-
Colorado court issues ex parte asset freeze order in CFTC
anti-fraud action against Prism Financial and Brian Prendergast,
both of Colorado, and two defendants in California #3892-96 (February 26, 1996)
January
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