Blog Posts Tagged With Miscellaneous

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Follow-on APs, Suspensions, and Bars (Oct. 2019)

  • In re Moez Ben Mohamed Hedri (A.P. Oct. 1, 2019, Settled)
  • In re Portfolio Advisors Alliance, Inc. (A.P. Oct. 7, 2019, Contested)
  • In re Howard J. Allen III (A.P. Oct. 7, 2019, Contested)
  • In re Kerri L. Wasserman (A.P. Oct. 7, 2019, Contested)
  • In re Michael Silva (A.P. Oct. 8, 2019, Settled)
  • In re Harold Wasserman (A.P. Oct. 9, 2019, Settled)
  • In re Lek Securities Corporation and Samuel Lek (A.P. Oct. 10, 2019, Settled)
  • In

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In re Intergrain (A.P. Sept. 30, 2019, Settled)

Action against Respondent, a Luxembourg-based agribusiness, for alleged failure to comply with Regulation 19.01, which requires disclosure when a legal person holds certain agricultural futures in a hedging position.  According to the CFTC, Respondents held or controlled soybean futures that were hedging positions but failed to file the necessary disclosure forms.  Respondent has agreed to pay a civil penalty of $175,000.

CFTC Order

CFTC Press Release
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Delinquent Filings (Sept. 2019)

  • In re Hengyi International Industries Group, Inc., et al. (A.P. Sept. 3, 2019, Contested)
  • In re Tongli Pharmaceuticals (USA), Inc. and Vansen Pharma, Inc. (A.P. Sept. 3, 2019, Contested)
  • In re Black Stallion Oil & Gas, Inc. and Cannabis Science, Inc. (A.P. Sept. 4, 2019, Contested)
  • In re Comarco, Inc. and Eco-Shift Power Corp. (A.P. Sept. 4, 2019, Contested)
  • In re Empire Energy Corporation International, Moller International, Inc., and Rangeford Resources, Inc. (A.P. Sept. 5,

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Follow-on APs, Suspensions, and Bars (Sept. 2019)

  • In re Karen McKinley (A.P. Sept. 3, 2019, Contested)
  • In re Eric Larson Sampson (A.P. Sept. 4, 2019, Settled)
  • In re Terry Wayne Kelly and Kelly Management LLC (A.P. Sept. 5, 2019, Settled)
  • In re Alfred C. Teran (A.P. Sept. 5, 2019, Settled)
  • In re Carol Ann Pedersen (A.P. Sept. 10, 2019, Settled)
  • In re Scott P. Strochak (A.P. Sept. 11, 2019, Settled)
  • In William M. Apostelos (A.P. Sept. 11, 2019, Contested)
  • In re Dennis

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Delinquent Filings (Aug. 2019)

  • In re Agritech Worldwide, Inc., et al. (A.P. Aug. 2, 2019, Contested)
  • In re Empire Energy Corporation, International, et al. (A.P. Aug. 2, 2019, Contested)
  • In re Artisanal Brands, Inc. and Daleco Resources Corporation (A.P. Aug. 5, 2019, Contested)
  • In re American Rare Earths and Materials Corp. (A.P. Aug. 5, 2019, Contested)
  • In re Dutch Gold Resources, Inc. and Paracap Corporation (A.P. Aug. 5, 2019, Contested)
  • In re Alife Corporation, et al. (A.P. Aug. 6,

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Follow-on APs, Suspensions, and Bars (Aug. 2019)

  • In re Alan Shinderman (A.P. Aug. 1, 2019, Settled)
  • In re Quicksilver Stock Transfer, LLC, a/k/a Quicksilver Stock Transfer Corporation (A.P. Aug. 1, 2019, Contested)
  • In re Jason Dwayne Watson (A.P. Aug. 2, 2019, Contested)
  • In re Nandu Thondavadi (A.P. Aug. 5, 2019, Contested)
  • In re Thomas W. Avent, Jr., CPA, Esq. (A.P. Aug. 7, 2019, Settled)
  • In re Sean Kelly (A.P. Aug. 7, 2019, Contested)
  • In re Elizabeth Oharriz (A.P. Aug. 8, 2019, Settled)

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