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| | Weekly Advisory -- April 23, 2004 (Site not responding. Last check: 2007-10-22) |
 | | The order, entered on April 6, 2004, requires Sidewitz and Qi2 to pay a $25,000 civil monetary penalty, to refrain from applying for or seeking exemption from registration with the CFTC, and to cease and desist from further violations of the Commodity Exchange Act and CFTC regulations. |
 | | The CFTC order finds that beginning in April 2001, Allen violated the Commodity Exchange Act (CEA) by holding himself out to the public as a commodity trading advisor and directing the commodity accounts of at least six customers, all without registering with the Commission as a Commodity Trading Advisor (CTA). |
 | | On April 21, 2004, the Honorable Charles R. Simpson of the U.S. District Court for the Western District of Kentucky entered an order of preliminary injunction, to which the defendants consented, restraining E Net from offering futures contracts to residents of the United States during the pendency of the case. |
| www.cftc.gov /opa/adv04/opawa17-04.htm (1644 words) |
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