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04-898 - Commodity Futures Co v. Foreign Fund, et al


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04-898 - Commodity Futures Co v. Foreign Fund, et al
June 25, 2007
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MEMORANDUM: Order to enter. Signed by Judge Robert Echols on 6/25/07. (jb)
August 17, 2007
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REPORT AND RECOMMENDATION: The Magistrate Judge recommends that 116 CFTC's Motion for Sanctions against Wolfgang J. Fastian be granted, and that, pursuant to Rule 37(b)(2)(A), Fed.R.Civ.P., the factual statements concerning Mr. Fastian's involvement in this matter stated on pages 2 and 3 of the 103 CFTC's Motion for Partial Summary Judgment Against Defendant Wolfgang J. Fastian, should be taken as established for the purposes of this action. Signed by Judge John S. Bryant on 8/17/07. (cc: Wolfgang J. Fastian at RR2, Box 260, Troy PA 16947 by certified and regular mail; Wolfgang J. Fastian at Vorstadtgrasse 15/15, Voitsberg, Austria, A-8570 by regular mail) (jb)
September 26, 2007
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ORDER: The 124 Magistrate Judge's Report and Recommendation is ACCEPTED. 116 Pltf Commodity Futures Trading Commission's Motion for Sanctions Against Wolfgang J. Fastian for failure to comply with Court's Discovery Order is granted. As an appropriate sanction under Fed.R.Civ.P. 37(b)(2)(A), the factual statements concerning Deft Fastian's involvement in this matter, as stated on pages 2 and 3 of the Pltf's Motion for Partial Summary Judgment Against Deft Wolfgang J. Fastian (DE No. 103), are hereby taken as established for all further purposes of this action. The Clerk is directed to return the file to the Magistrate Judge. Signed by Judge Robert Echols on 9/26/07. (jb)
February 12, 2008
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CONSENT ORDER OF DISMISSAL OF CLAIMS AGAINST DEFENDANT JOHN SHIRCK AND RELIEF DEFENDANTS WALLY DOW AND MW FIRST INC. re 152. Pursuant to Fed.R.Civ.Proc. 41(a)(2), all claims set forth in the Amended Complaint against Defendant John Shirck and Relief Defendants MW First, Inc. and Wally Dow are dismissed with prejudice. Signed by Judge Robert Echols on 2/12/08. (jb)
February 12, 2008
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ORDER OF DISGORGEMENT AGAINST DEANA WHITELY. The 154 Motion for Disgorgement Against Deana Whitley is granted. Deft Whitely shall disgorge within 10 days from the date of this Order $245,424.42, representing funds obtained from customers as a result of the conduct alleged in the complaint, plus post-judgment interest at the interest rate set forth in 28 U.S.C. Sec. 1961. To effect payment by Whitely and distribution of disgorgement, the Court appoints the National Futures Association as Monitor. This Court shall retain jurisdiction of this cause to assure compliance with this Order and for all other purposes related to this action. Signed by Judge Robert Echols on 2/12/08. (jb)
February 12, 2008
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ORDER OF DISGORGEMENT AGAINST STAR CONNECTION, INC. The 154 Motion for Disgorgement Against Star Connection is granted. Deft Star Connection shall disgorge within 10 days from the date of this Order $658,000. representing funds obtained from customers as a result of the conduct alleged in the complaint, plus post-judgment interest at the interest rate set forth in 28 U.S.C. Sec. 1961. To effect payment by Star Connection and distribution of disgorgement, the Court appoints the National Futures Association as Monitor. This Court shall retain jurisdiction of this cause to assure compliance with this Order and for all other purposes related to this action. Signed by Judge Robert Echols on 2/12/08. (jb)
February 12, 2008
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ORDER OF DISOLUTION OF TEMPORARY RECEIVERSHIP OF GILARDI & CO., LLC. The 155 Motion for an Order of Dissolution of the Temporary Receivership of Gilardi & Co., LLC is granted. Gilardi shall effect the sale of all remaining assets including Defendant Wolfgang Fastians HumVee vehicle, partial VIN number 31986, through consignment or otherwise within 45 days from the date of the entry of this order. Gilardi shall return the funds identified as the personal assets of John Shirck to the estate of John Shirck within 30 days from the date of the entry of this order. Within 30 days from the date of the entry of this order, Gilardi shall send a Notice to the investors who have contacted Gilardi stating that the case is concluded and insufficient funds have been found to warrant a claims process. Gilardi shall submit an application for payment for costs and fees for its work as Temporary Receiver in this matter, including the mailing notification to the potential class members who have contacted Gilardi. Such application shall be made within 60 days from the date of the entry of this order. After the Court has ruled on the application for payment, Gilardi shall pay the remaining balance of funds to the National Futures Association as Monitor. See Order for more details. This Court shall retain jurisdiction of this cause to assure compliance with this Order and for all other purposes related to this action. Signed by Judge Robert Echols on 2/12/08. (jb)
March 4, 2008
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ORDER OF 163 PERMANENT INJUNCTION AND OTHER EQUITABLE RELIEF AGAINST DEFENDANT WOLFGANG J. FASTIAN. The Court directs the entry of an Order of Permanent Injunction and Other Equitable Relief against Fastian. Fastian is permanently restrained, enjoOrder and for all other purposes related to this action. There being no just reason for delay, the Clerk of the Court is hereby directed to enter this Order Of Permanent Injunction And Other Equitable Relief Against Defendant Wolfgang J. Fastian. Signed by Judge Robert Echols on 3/4/08. (The current Post-Judgment Interest Rate is: 1.98%) (cc: Wolfgang Fastian at Troy, PA Address by certified and regular mail; Ron Mealing by certified and regular mail) (jb) Modified on 3/5/08 (jb).ined, and prohibited as outlined in this Order. Fastian shall pay restitution in the amount of $28,500, plus post-judgment interest within 10 days of entry of this Order. Fastian shall pay disgorgement in the amount of $187,000, plus post-judgment interest, within 10 days of entry of this Order. To effect payment by Fastian and distribution of restitution and disgorgement, the Court appoints the National Futures Association as Monitor. The Monitor shall collect restitution and disgorgment payments from Fastian, and make distributions as set forth in this Order. Fastian shall pay a civil monetary penalty in the amount of $240,000.00, plus post-judgment interest, pursuant to Section 6c of the Act, 7 U.S.C. Sec. 13a-1. The civil monetary penalty shall be paid within 10 days of entry of this Order. Fastian shall pay this civil monetary penalty by electronic funds transfer, U.S. postal money order, certified check, bank cashier's check, or bank money order. If payment is to be made other than by electronic funds transfer, the payment shall be made payable to the Commodity Futures Trading Commission and sent to the address below: Commodity Futures Trading Commission, Division of Enforcement, Attn: Marie Bateman-AMZ-300, DOT/FAA/MMAC, 6500 S. MacArthur Blvd., Oklahoma City, OK 73169. This Court shall retain jurisdiction of this cause in order to implement and carry out the terms of all orders and decrees that may be entered herein, to assure compliance with this
March 27, 2008
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ORDER: The claims against all Defendants except Ron Mealing and Relief Defendant MW First Trustees Inc. have been resolved. These remaining Defendants have submitted a Consent Order of Permanent Injunction and other Equitable Relief against them which must go before the Commodity Futures Trading Commission for approval before it can be entered by the Court. The Clerk is directed to close this action administratively pending determination by the Commission of the relief proposed by the remaining Defendants. Upon motion by either of the remaining parties, the case will be reopened and the aforesaid Consent Order shall be entered to end the case, or, if the Consent Order is not approved by the Commission, the case may be reopened and the parties may proceed to trial. Signed by Judge Robert Echols on 3/27/08. (cc: Ron Mealing & MW First Trustees Inc. by certified and regular mail) (jb)