September 4, 2008
CFTC Orders Sempra Energy Trading LLC to Pay $175,000 to Settle Trading Card Violations in Connection with Natural Gas Futures Trading on the NYMEX, 5540-08
September 3, 2008
California Commodity Pool Operator and its Sole Manager Charged in Federal Court with Commodity Pool Fraud, 5539-08
September 2, 2008
Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC, 5538-08
August 28, 2008
CFTC Sanctions Former NYMEX Broker Ryan Tremblay $50,000 for Fraudulent Trade Practice Scheme, 5536-08
August 26, 2008
CFTC Sanctions Former NYMEX Employee for Disclosing Non-Public Information to NYMEX Floor Brokers, 5534-08
August 26, 2008
CFTC Sanctions Rosenthal Collins Group, LLC $310,000 for Failing to Enforce Compliance Procedures and Diligently Supervise Employees, 5535-08
August 19, 2008
Hedge Fund Trader Paul Eustace and Philadelphia Alternative Asset Management Co. Ordered to Pay More Than $279 Million to Defrauded Customers and More than $20 Million in Civil Monetary Penalties in CFTC Action, 5531-08
August 11, 2008
CFTC Announces Formation of Retail Foreign Currency Fraud Enforcement Task Force, 5530-08
July 31, 2008
Tampa Resident Edward J. Evors Ordered to Pay $904,000 in Restitution and Civil Monetary Penalties in CFTC Action, 5527-08
July 30, 2008
CFTC Files Action to Revoke the Registrations of John C. Glase and Two Ohio Companies, 5526-08
July 30, 2008
California Resident Gilbert Philip Castillo, Jr. to Pay More Than $272,000 to Resolve CFTC Anti-Fraud Action, 5525-08
July 29, 2008
CFTC Charges Canadian Couple with Fraud and Misappropriation in Connection with the Operation of a Commodity Pool, 5524-08
July 28, 2008
U.S. Attorney Follows CFTC Civil Complaint with Filing of a Criminal Information Against George D. Hudgins of Nacogdoches, Texas for Operating a Commodities Ponzi Scheme, 5523-08
July 24, 2008
CFTC Charges Optiver Holding BV, Two Subsidiaries, and High-Ranking Employees with Manipulation of NYMEX Crude Oil, Heating Oil, and Gasoline Futures Contracts, 5521-08
June 19, 2008
Illinois Resident Cameron Charles Ordered to Pay a $100,000 Civil Penalty and Submit to a Permanent Trading Ban in Connection with the Financial Collapse of Watseka Farmers Grain Co. Cooperative, 5513-08
June 16, 2008
CFTC Obtains Order Against California-based James J. Zhou and His Firm, Jade Trader, Requiring Payment of Restitution to Defrauded Customers and Civil Monetary Penalties, 5510-08
May 23, 2008
Federal Court Rejects Amaranth Hedge Fund and Head Trader Brian Hunter’s Attempt to Dismiss Government’s Natural Gas Case Against Them, 5502-08
May 21, 2008
Federal Court Order Freezes Assets of Texas Resident George D. Hudgins in CFTC Anti-Fraud Action, 5500-08
May 2, 2008
U.S. Commodity Futures Trading Commission Obtains Federal Court Order Freezing Assets of California-based Safevest LLC, 5497-08
May 1, 2008
CFTC Sues Sentinel Management Group, Inc. and Two of Its Executive Officers for Fraud, Segregation, and False Reporting Violations Involving $562 Million in Customer Funds, 5494-08
April 30, 2008
Lake Shore Group of Companies Inc., Ltd., Prohibited from Trading Commodity Futures, as Illinois Federal Court Puts the Brakes on Multi-Million Dollar International Fraud, 5492-08
April 30, 2008
New Jersey Federal Court Freezes Assets of Hedge Fund in Fraud Action Brought by the CFTC, 5491-08
April 22, 2008
U.S. District Court Orders Two New York Residents and a New York Firm to Pay More Than $11 Million for Their Roles in Defrauding Investors in Foreign Currency Schemes, 5490-08
April 21, 2008
CFTC Sanctions Alaron Trading Corporation for Failing to Supervise Diligently Employees, 5488-08
April 14, 2008
Florida-Based E-Metal Merchants, Inc. and Two Officers Ordered to Pay More Than $10 Million in Restitution and Penalties in Illegal Off-Exchange Metal Options Case, 5485-08
April 10, 2008
Virginia-Based Forefront Investments Corp. and Richmond Couple Ordered to Pay $260,000 to Settle Undercapitalization Charges, 5483-08
April 9, 2008
U.S. District Court Orders George Heffernan, a/k/a George W. Marshall, to Pay $650,000 in Sanctions in Federal CFTC Action Involving Fraudulent Trading Commodity Advice and Services, 5482-08
April 9, 2008
Dubai-Based Aaristo Commodities and Futures DMCC Ordered to Pay $100,000 Penalty Related to Charges of Engaging in Illegal Trades, 5481-08
April 8, 2008
CFTC Sanctions Two NYMEX Brokers for Fraudulent Trade Practice Schemes in Joint Investigation with the NY County District Attorney’s Office, 5480-08
April 7, 2008
CFTC Charges Ex-felon Turned Business Man, Kenneth Branch, and His Company, Cocoon Trade Inc., with Fraud, 5479-08
March 27, 2008
Texas Resident Aden Rusfeldt and Rusfeldt Investments LLP to Pay More Than $3 Million in Penalties in Currency Fraud Case, 5475-08
March 18, 2008
CFTC Charges Texas Resident Rockland McMahan with Making False Reports of Feeder Cattle Sale Activity to the USDA, 5472-08
March 17, 2008
Energy Transfer Partners LP and Three of Its Subsidiaries to Pay a $10 Million Penalty to Settle CFTC Action Alleging Attempted Manipulation of Natural Gas Prices, 5471-08
March 12, 2008
BNP Paribas Commodity Futures, Ltd. of London to Pay a $25,000 Civil Monetary Penalty to Settle CFTC Charges of Large Trader Reporting Violations, 5470-08
March 6, 2008
Former Duke Energy Trader Michael Whitney to Pay a $55,000 Penalty in Natural Gas False Reporting Case, 5465-08
March 5, 2008
Illinois Federal Court Orders Peter D. Hoffman to Pay $492,850 in Restitution and Civil Monetary Penalties in CFTC Anti-Fraud Action, 5464-08
February 21, 2008
Florida-Based Executive Commodity Corp. and Three Employees Ordered to Pay Approximately $24 Million in Restitution and Penalties in CFTC Anti-Fraud Action, 5461-08
February 21, 2008
CFTC Settles Introducing Broker Fraudulent Solicitation Lawsuit with Florida-Based FCM Guarantors National Commodities Corporation, Inc., and International Commodity Clearing LLC, 5460-08
February 20, 2008
CFTC Files Second Amended Complaint Charging Philip J. Baker, Lake Shore Asset Management Limited, Lake Shore Group, and Several Commodity Pools with Fraud, 5459-08
February 14, 2008
LJH Global Investments, LLC of Naples, Florida, Ordered to Pay $125,000 Penalty for Failure to File Annual Reports on Time, 5458-08
February 14, 2008
Paradigm Capital Management LLC of New York Ordered to Pay a $75,000 Penalty for Failure to Timely File Commodity Pool Reports, 5457-08
February 14, 2008
Charles DeFazio And Galaxy Resources 2000, LLC to Pay $1.43 Million In Sanctions to Settle CFTC Pool Fraud Action, 5456-08
February 12, 2008
CFTC Amends Charges Against Nations Investments, LLC and its Principals; Violations Include Undercapitalization and False Statements, 5454-08
February 8, 2008
Michigan Couple Ordered to Pay More Than $3.1 in Sanctions for “Private Hedge Fund” Fraud, 5451-08
February 7, 2008
Tennessee Federal Court Orders Christian Kis of Hendersonville, Tennessee to Pay More Than $900,000 in Penalties in Hedge Fund Fraud Action, 5449-08
February 7, 2008
Illinois Resident Edward R. Velazquez and His Three “V-Tek” Companies Sanctioned Over $11.6 Million in Settlement of CFTC Commodity Fraud Action, 5448-08
February 7, 2008
New Jersey Federal Court Orders More Than $8 Million in Sanctions Against Robert W. Shimer, Vincent J. Firth, and Equity Financial Group LLC in CFTC Anti-Fraud Action, 5447-08
January 24, 2008
CFTC Sanctions Virginia Commodity Pool Operator $739,000 to Settle Fraud and Misappropriation Charges, 5443-08
January 23, 2008
CFTC Files Action to Revoke Registrations of Introducing Brokers Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation, 5442-08
January 22, 2008
CFTC Settles Charges against Dubai-Based Supama International DMCC for Engaging in Illegal Trades that Resulted in an Illegal Pass of Money among Accounts, 5441-08
January 16, 2008
CFTC Charges Argentine Trader with Defrauding More Than 400 Customers Worldwide in a $43.8 Million Investment Scheme, 5437-08
January 15, 2008
CFTC Obtains Verdict Against Former Coral Energy Trader Anthony Dizona for Attempted Manipulation; Jury Finds Defendant Violated the Commodity Exchange Act by Attempting to Manipulate the Natural Gas Market Eight Times, 5435-08
January 10, 2008
CFTC Charges Two Chicago Board of Trade Floor Brokers with Defrauding Customers Out Of More Than $2 Million, 5434-08
January 9, 2008
Former Employee of Pompano Beach Commodity Firm, Leslie Weiner, Settles Charges that He Defrauded Commodity Options Customers, 5433-08
January 8, 2008
President of a Miami Commodity Futures and Options Firm Sanctioned $260,000 for Fraud and Misappropriation of Customer Funds, 5432-08
January 3, 2008
CFTC Seeks to Revoke the Registration of Fort Lauderdale-based Worldwide Clearing, LLC, 5431-08
