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- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
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Tag Archives: Commodity Exchange Act
CFTC Orders David Kaup And His Companies To Pay More Than $1.89 Million To Settle Fraud Charges
In the Matter of David Kaup, et al., CFTC Docket No. 13-03. On October 23, 2012, the CFTC announced it issued an order settling fraud charges against David Kaup and his companies. Kaup and his companies solicited investments from individuals by claiming … Continue reading
CFTC Orders Morgan Stanley To Pay $200,000 For Failure To Supervise Customer Accounts
In the Matter of Morgan Stanley Smith Barney LLC, CFTC Docket No. 13-02. On October 22, 2012, the CFTC announced it issued an order filing and settling charges that Morgan Stanley failed to diligently supervise the handling of customer accounts. … Continue reading
CFTC Charges David Nunn In Illegal Trading Scheme
CFTC v. David M. Nunn, Case No. 12-civ-7786 (S.D.N.Y.). On October 18, 2012, the CFTC announced it filed charges against David M. Nunn, a former broker of ICE Futures U.S. Inc. Dunn engaged in non-competitive and fictitious sales of coffee … Continue reading
CFTC Orders Farr Financial, Inc. to Pay $280,000 to Settle Supervision Failures and Other Violations
In the Matter of Farr Financial, Inc.., CFTC Docket No. 13-01. On October 10, 2012, the CFTC announced it issued an order settling charges that Farr Financial Inc. of San Jose, California, failed to properly invest customer segregated funds and … Continue reading
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
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
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