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Here is another one. A little worse than not sending out 1099s.
http://www.cftc.gov/opa/enf03/opa4802-03.htm
-----Original Message-----
From: Cayenne Trading LLC [mailto:cayenne@xxxxxxxx]
Sent: Friday, June 27, 2003 11:32 AM
To: omega-list@xxxxxxxxxx
Subject: FYI...
CFTC Charges Futures Broker and Its Chairman with Failure to Retain
Records CFTC Alleges Professional Market Brokerage, Inc. and Huaya Lu
Tung Abandoned Required Records WASHINGTON, D.C. - The U.S. Commodity
Futures Trading Commission (CFTC) today announced the filing of a
one-count administrative complaint against Professional Market
Brokerage, Inc. (PMB), an Illinois corporation, and its Chairman, Huaya
Lu Tung, alleging that PMB abandoned records it was required to maintain
and that Tung induced such violations by PMB. PMB is registered with the
CFTC as a futures commission merchant. CFTC Charges Futures Broker and
Its Chairman with Failure to Retain Records CFTC Alleges Professional
Market Brokerage, Inc. and Huaya Lu Tung Abandoned Required Records
WASHINGTON, D.C. - The U.S. Commodity Futures Trading Commission (CFTC)
today announced the filing of a one-count administrative complaint
against Professional Market Brokerage, Inc. (PMB), an Illinois
corporation, and its Chairman, Huaya Lu Tung, alleging that PMB
abandoned records it was required to maintain and that Tung induced such
violations by PMB. PMB is registered with the CFTC as a futures
commission merchant. http://www.cftc.gov/opa/enf03/opa4804-03.htm
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