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Actions > Archives > 1997
December
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CFTC Files Complaint Charging New York Currency Research Corporation
with Failure to Produce Books and Records, 4089-97 (CFTC Docket #98-3), December 18,
1997.
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CFTC Files Administrative Complaint Against Reifler Trading
Corp., Liberty Futures, Inc., and Three Individuals Alleging
Unregistered "Correspondent" Relationships, Among Other Violations
of Federal Commoidty Law and CFTC Regulations, 4088-97 (CFTC Docket #98-2), December
18, 1997.
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Ohio Court Permanently Bars Allied Financial Group, Inc (AFG)
of Powell, Ohio, and Robert Bobo from the Futures Industry;
AFG and Bobo Agree to Pay Restitution to Defrauded Investors, 4086-97 (C2-94-981), December
11, 1997.
November
-
CFTC Charges Florida Companies, Three Principals, With Nationwide
Telemarketing Scheme Involving Illegal Off-exchange Futures
Contracts in Precious Metals, Heating Oil, Other Commodities 4082-97 (Civ 97-7422), November
24, 1997
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Florida Court Finds Richard E. Maseri in Contempt for His
Transfer of Frozen Assets in Violation of Consent Order of
Preliminary Injunction; Maseri Is Ordered to Pay $33,000, 4081-97 (Civ 95-6970), November
19, 1997.
-
Michigan Court Issues Permanent Injunction Finding That Daniel
M. O'Shaughnessey Defrauded Pool Customers of Over $435,000, 4079-97 (96-CV-10421-BC), November
12, 1997.
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Pennsylvania Court Issues Permanent Injunction Against Robert
H. Rutman in CFTC Anti-Fraud Enforcement Action, Effectively
Barring Him From the Futures Industry, 4074-97, November 5, 1997.
October
-
CFTC ALJ Finds First Commercial Financial Group, Inc. (FCFG)
Mark E. Rehn and John A. Hermanson Liable for Violating Capital
Requirements and Filing False Reports in Connection With Check-Kiting
Scheme, 54-97, October 30, 1997.
-
CFTC Accepts Settlement Offer of Edward T. Hamlet of Boca
Raton, Florida Finding The He Aided and Abetted Commodity Fraud, 4071-97 (CFTC Docket No. 94-14),
October 30, 1997.
-
CFTC Files Civil Injunctive Complaint and Motion of Preliminary
Injunction Against Brien Sullivan of Honolulu, Hawaii, 4067-97 (97-Civ-01478), October
23, 1997.
-
CFTC Charges Global Link Miami Corporation and Three Individuals
with Fraud in the Offer and Sale of Illegal Futures Contracts, 4066-97 (CFTC Docket 98-1), October
22, 1997.
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U.S. District Court Grants Summary Judgment to CFTC in Fraud
Action Against Richard E. Maseri of Boca Raton, FLA., and Private
Research, Inc., 4065-97 (95-Civ-6970), October
21, 1997.
-
Preliminary Injunction Entered Against FTI Financial Group
of Toledo, Ohio, and Three of Its Partners in CFTC Anti-Fraud
Enforcement Action, 4063-97, October 10, 1997.
-
New York Federal Court Denies Motion to Dismiss in Case Brought
By CFTC Involving Commodity Trading Advice Given Through Computer
Software, 4062-97, October 3, 1997. Full text of Opinion and Order.
-
Permanent Injunction and Multimillion Dollar Disgorgement
Order Entered Against Carrington Financial Corp., Marc S. Wuensch,
and A. Francis Sidoti in CFTC Anti-Fraud Action, 4061-97, October 2, 1997.
September
-
CFTC Files Statutory Disqualification Action Against Mark
S. Shaner, Effectively Barrring Him From the Futures Industry, 4057-97, September 26, 1997.
-
Illinois Court Permanently Bars Anthony S. Ramirez and Abacus
Investment Group Inc., From the Futures Industry, 4056-97, September 26, 1997.
-
Tennessee Court Issues Preliminary Injunction in CFTC Enforcement
Action Against Ronald Barback, 4055-97, September 24, 1997.
-
California Court Issues Temporary Restraining Order and Asset
Freeze Order in CFTC Enforcement Action Against L.A. Forex,
Inc. and Two Individuals, All of Redondo Beach, California 4052-97 (97-Civ 6800) September
16, 1997
-
CFTC Files Anti-Fraud Enforcement Action in New Yourk Federal
Court Against Templer International, Ltd., Worldwide Commodities,
Ltd., Worldwide's President William Sanchez, and Templer's
President Brian Willis, 4050-97 (97 Civ 5255), September
8, 1997
-
CFTC Files Anti-Fraud Enforcement Action Against Willy Kerzinger
of Michigan and Simultaneously Accepts Settlement Barring him
from the Industry and Requiring him to Pay Disgorgement, 4049-97, September 4, 1997
August
-
CFTC Files Two Count Anti-Fraud Enforcement Action Against
Ronald Barback, A Tennessee-Based Commodity Trading Advisor, 4045-97, (97 Civ. 638), August
28, 1997.
-
New York Court Issues Ex Parte Asset Freeze Order in
CFTC Enforcement Action Againt Oscar A. Klitin and Klitin Associates,
II, Both of Great Neck, New York, 4044-97, (97 Civ. 4793), August
28, 1997.
-
CFTC Files Enforcement Action Against First Capital Strategists
of York, Pennsylvania, and the Four Partners of the Firm and
Simultaneously Accepts Respondents' Settlement Offer, 4043-97, (CFTC Docket #97-14),
August 13, 1997.
-
CFTC Charges Global Currencies, Ltd., Leon Levitis, Ilya Levitis,
Alex Efrosman, and Paul Manfre with Fraud in the Sale of Illegal
Foreign Currency Futures Contracts, 4042-97 (CFTC Docket 97-13), August
7, 1997.
July
-
U.S. District Court Dismisses First Amendment Challenge to
Commodity Trading Advisor Registration Requirement, 4040-97, August 1, 1997.
-
CFTC Discontinues Off-Exchange Task Force, 38-97, July 30, 1997.
-
CFTC Files Administrative Complaint Charging Curtis McNair
Arnold and London Financial, Inc. with Fraud and Failure to
Register in Commection with Marketing, Sale and Trading of "Pattern
Probability Strategy" Trading System, 4039-97 (CFTC Docket #97-12) July
31, 1997.
-
CFTC Files and Settles Administrative Proceedings against
Visioneering Resarch & Development Co., and Robert W. Everson
for Violations of the Commission's Performance Record Regulations, 4037-97 (CFTC Docket 97-11), July
30, 1997.
June
-
CFTC Files and Settles Administrative Proceeding Against Mitsubishi
Corp., Merrill Lynch Futures, Inc., Country Hedging, Inc.,
and Charles B. Soule for Wash Sales Violations #4031-97 (CFTC Docket #97-10) June
24, 1997 Full Text of Order
-
CFTC Charges California Company, Its President and Three of
the Firm's Telemarketers with Fraud in Sale of Illegal, Off-Exchange
Precious Metals Futures Contracts Nationwide #4030-97 (Civ. 97-4443) June 23,
1997 Full Text of Complaint
-
CFTC Files Anti-Fraud Enforcement Action Against Murray Ira
Rosenberg (d/b/a Pro Broker Services, Inc.) of Mullica Hill,
New Jersey #4029-97 (Civ 97-2927) June 19,
1997
-
CFTC Files Action Against Michael Myatt, Pragmacapital Corporation,
And The Berkshire Internation Hedge Fund L.P. II, All Of Beaverton,
Oregon, Seeking Permanent Injunction #4026-97 June 5, 1997
May
April
-
CFTC Files Charges Against AVCO Financial Corp. 4015-97 (97Civ-3119) April 30,
1997 Full Text of Complaint
-
CFTC Accepts Settlement Offer of Christopher Engel #4014-97 (CFTC Docket No. 93-5) April
29, 1997
-
U.S. District Court in Illinois Issues Permanent Injunction
in CFTC Anti-Fraud Action Against Gary Bruce Anderson #4013-97 (Civ 95-C-5422), April
22, 1997
-
EX PARTE Asset Freeze Ordered by California Court in CFTC
Enforcement Action Against AC Trading #4012-97 (Civ 97-1360), April
22, 1997
-
CFTC Files Satutory Disqualification Action Against Kevin
Michael Hanley and Simultaneously Accepts His Settlement Offer,
Which Includes a Two-Year Period of Conditioned Registration. 4009-97 (CFTC Docket No. SD 97-4) April
9, 1997
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Federal Court Approves CFTC Settlement with Yuan-Yi Lao Who
Was Charged With the Unlawful Offer and Sale of Foreign Currency
Futures #4008-97 (CV-93-0088) April
3, 1997
March
-
CFTC Issues Report of Investigation In the Matter of Merrill
Lynch, Pierce, Fenner & Smith, Inc. #4007-97. March 19,1997 Text
of Full report.
-
CFTC Settles Complaint Against Two CME Floor Brokers -- Timothy
Scott Fox and James Michael Garrity-- Charged in 1995 in Connection
with Pork Belly Futures Trading #4006-97 (CFTC Docket 95-6) March
19, 1997
-
CFTC Files Complaint Charging Eugene Lyon Jewett, II, of Los
Angeles with Violating Federal Commodity Law #4005-97 (CFTC Docket 97-7) March
19, 1997
-
CFTC Accepts Settlement Offer from Craig W. Effron #4001-97 (CFTC Docket 93-2) March
12, 1997
-
CFTC Accepts Settlement Offer from John P. Gandolfo #4002-97 (CFTC Docket #93-2) March
12, 1997
-
CFTC Issues Statutory Disqualification Against James P. Graeber,
Jr. and Simultaneously Accepts His Offer, Which Includes a
Two Year Period of Restricted Registration #4000-97 (CFTC Docket No. SD 97-2) March
7, 1997
February
-
CFTC Accepts Settlement Offer from Mark J. Sitzmann, David
E. Sitzmann, and Sitzmann Commodities Inc., In Connection with
CFTC Action Filed in 1996 #3996-97 (CFTC Docket # 96-5) February
27, 1997
-
CFTC Complaint Charges Sean G. Kelly With Failure to Keep
and Maintain Books and Records #3997-97 (CFTC Docket #97-6) February
27, 1997
-
Florida Court Issues Permanent Injunction Against James V
Dowler, Jr and Dowler & Beekman Trading Co. #3995-97 (Civ 96-14284) February
27, 1997
-
Permanent Injunction Issued By California Court in CFTC Enforcement
Action Against Carl J. Hermans of North Hollywood #3992-97 (CV-97-0777) February
21, 1997
-
Permanent Injunction Issued Against Edward M. Collins of Hoffman
Estates, Illinois, in CFTC Anti-fraud Action Filed in 1994 #3993-97 (94-C4375) February
21, 1997
-
EX PARTE Asset Freeze Order Issued By California Court
in CFTC Enforcement Action Against Carl J. Hermans of North
Hollywood, California #3991-97 (CV97-0777RSWL) February
12, 1997
-
U.S. District Court In Colorado Issues Orders Of Permanent
Injunction In CFTC Anti- Fraud Action Against Brian Prendergast
Of Colorado And Joel De Angelis Of California In 1996 Prism
Case #3990-97 February 6, 1997
January
-
CFTC Complaint Charges New York Forex Ex-Center Corp. and
Two Individuals with Fraud #3986-97 Also: Full Text of Complaint: January
28, 1997
-
CFTC Accepts Settlement Of Cantor Fitzgerald & Co. #3987-97 Also: Full Text Of Order January 28,
1997
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CFTC Accepts Settlement Offer in Statutory Disqualification
Action Against CBOT Floor Broker Richard C. Hayes, Which Includes
Revocation of Hayes' Registration #3985-97 January 16, 1997
-
CFTC Prevails In Action to Enforce Aministrative Subpoenas
Requiring Testimont And Production of Documents Related to
London Financial, Inc., of Jupiter, Florida #3984-97 January 2, 1997
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