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- SEC Settles Insider Trading Case against Charles Langston III
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Category Archives: Commodities
CFTC Obtains $1.4 Million in Penalties in Ponzi Scheme
CFTC v. Midway Trading Company, LLC, et al., Case No. 11-23554-CIV-ROSENBAUN (S.D. Fl.). On October 1, 2012, the CFTC announced that it obtained an order requiring Oscar Hernandez, Midway Trading Company, LLC and Conquest Investment Group, Inc. to pay a $1.4 million … Continue reading
CFTC Obtains Final Judgment Requiring Gordon A. Driver and His Companies to Pay Over $41 Million in Restitution and Penalties
CFTC v. Gordon A. Driver et al., Case No. SA 09-CV-0578-ODW (RZx) (C.D. Cal.). Yesterday the CFTC announced a final judgment and permanent injunction order against Gordon A. Driver, Axcess Automation LLC (“Axcess Automation”), and Axcess Fund Management LLC (“Axcess … Continue reading
CFTC Charges Christopher Daley and TC Credit Services, LLC with Solicitation Fraud and Misappropriation
CFTC v. Christopher D. Dailey et al., Case No. 12 CV 1834 (D. Tex.) The CFTC announced on July 11, 2012, the filing of an enforcement action, charging Christopher D. Daley and his firm, TC Credit Service, LLC (“TCCS”) with operating … Continue reading
CFTC Files Fraud Charges Against Peregrine Financial Group, Inc. and Russell R. Wasendorf, Sr.
CFTC v. Peregrine Financial Group, Inc., et al., Case No. 1:12-cv-05383 (N.D. Ill.) On July 10, 2012, the CFTC filed a complaint against Peregrine Financial Group, Inc. (“PFG”), a registered futures commission merchant, and its owner, Russell R. Wasendorf, Sr. The … Continue reading
CFTC Obtains Court Order Requiring Robert Mihailovich, Sr. and Growth Capital Management LLC to Pay $9.3 Million
CFTC v. Growth Capital Management, LLC, et al., Case No. 3:10-CV-1473-B (D. Tex.) On July 9, 2012, the CFTC announced it obtained an order requiring Robert Mihailovich, Sr. and Growth Capital Management LLC (“GCM”) to pay approximately $9.3 million for … Continue reading
CFTC Obtains Order requiring Linda Harris, Chance Harris, CDH Forex Investments, LLC, and CDH Global Holdings, LLC, to Pay More than $5.4 Million in Forex Fraud.
CFTC v. CDH Forex Investments, LLC et al., Case No. 3:11 cv-02862-F (N.D. Tex.). On June 12, 2012, the CFTC obtained a federal court order requiring Linda Harris, Chance Harris, and their companies, CDH Forex Investments, LLC and CDH Global Holdings to pay more … Continue reading
Illinois Federal Court Orders Richard C. Regan and Pro Trading Course, LLC to Pay $600,000 Restitution and Civil Monetary Penalties
CFTC v. Richard Regan et al., Case No. 1:11-cv-08679 (N.D. Il.). On June 14, 2012, the CFTC announced an order of default judgment and permanent injunction against Richard C. Regan and Pro Trading Course, LLC (“PTC”) of La Jolla, CA. The … Continue reading
CFTC Charges Jose S. Rubio in $1.8 Million Commodity Pool Fraud
CFTC v. Jose Rubio et al., Case No. 1:12-cv-22128 (S.D. Ga.). On June 7, 2012, the CFTC filed an enforcement action against Jose S. Rubio and Rubio Wealth Management, LLC (RWM) alleging they violated the Commodity Exchange Act by defrauding investors … Continue reading
CFTC Settles Forex Fraud Action Against Luis Salazar-Correa For $2.6 Million
In the Matter of Prosperity Team, LLC and Luis Salazar-Correa, CFTC Docket No. 12-23. On June 6, 2012, the CFTC ordered Luis Salazar-Correa and his Nevada-based company, Prosperity Team, LLC, to pay more than $2.6 million in a settled administrative proceeding. From … Continue reading
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