CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

$K's FOREX INTERNATIONAL, INC. 

03-06 CFTC 1/6/03 4(a) 

4b(a) 

COMMISSION ORDER 

4NEXCHANGE 2-02 CV-432 D UT 5/2/02 4b(a)(i) 

4b(a)(iii) 4(a) 

 COMPLAINT FILED 

65J, INC. 04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

666 EQUITIES CORPORATION 79-0560 SD NY 2/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

A & H FINANCIAL SERVICES, INC. 

91-22 CFTC 6/30/92 4b(A) 

4b(B) 4k(2) 4n(3) 4n(4) 4o(1) 

4.21(a) 4.22(a) 4.23(a) 

A. J. RIFFEL & COMPANY 86-30 CFTC 8/19/86 4b 

4d(2) 4g(1) 6(b) 4f(2) 

1.17(a) 1.18(a) 1.18(b) 1.20(a) 1.20(c) 1.22 1.23 1.31(a)(1) 1.32 1.35(a) 166.3 1.25 1.22 1.20 1.12 

A. L. & T. TRADING, INC. 78-0161 WD LA 2/13/78 4c(b) 

4f(1) 4f(2) 4g 

1.18 1.31 32.7 32.9 1.17(b) 

PERMANENT INJUNCTI

A.G. EDWARDS & SONS, INC. 97-2 CFTC 6/20/03 COMMISSION ORDER 

1
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

A.J.S. ENTERPRISES, INC. (A NEVADA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

A.S. TEMPLETON GROUP, INC. 03 4999 ED NY 11/24/03 PRELIMINARY 

INJUNCTION 

A+ CURRENCIES INT'L INC. 96-7814 SD NY 12/23/98 4(a) 

4b(a)(i) 4d(1) 9(a)(1) 

PERMANENT INJUNCTI

ABACUS INVESTMENT GROUP, INC. 

97C6528 ND IL 9/23/97 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 9(a)(1) 

PERMANENT INJUNCTI

ABDO, MICHAEL 87-6637 SD FL 8/30/88 PERMANENT INJUNCTIABELL, HOWARD 89-27 CFTC 1/16/92 4c(a)(A) 

4c(a)(B) 4a(5) 4i 

1.38 18.04(d) 

ABERNETHY, J. VERNON 04CV1512 D NJ 6/24/2004 COMPLAINT FILED 

ABLE, WILLIAM J. 90-20380 ND CAL 5/8/92 4m(1) 

4n(3)(A) 4b 4o 

4.21 4.22 

PERMANENT INJUNCTI

ABRAHAM & SONS CAPITAL, INC. 

98-7 CFTC 2/3/99 4b(a)(i) 

4b(a)(ii) 

1.31 4.22(a) 

2
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4m(1) 4o(1) 

4.22(b) 4.22(c) 4.22(d) 4.23 

ABRAHAMS, DEREK 03-2193 D KS 4/22/03 4o(1)(A) & 

(B) 

4.41(a) STATUTORY 

RESTRAINING ORDER 

AC TRADING GROUP 97-CIV-1360 ND CAL 11/21/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4k(2) 

PERMANENT INJUNCTI

AC TRADING GROUP FUND, LP 97-CIV-1360 ND CAL 11/21/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4k(2) 

PERMANENT INJUNCTI

ACE AMERICAN, INC. 79-18 CFTC 7/11/79 4d 

4f(2) 4g 4g(1) 

1.20(a) 1.17(a) 

ACE CAPITAL ADVISORY GROUP, INC. 

CV03-8339 CD CAL 5/10/2004 COMPLAINT FILED 

ACE EMERALD W. HOLDING, INC. 

CV03-8339 CD CAL 5/10/2004 COMPLAINT FILED 

ACKERMAN, JOHN F. 98-9 CFTC 6/19/98 4c(b) 

4b(a) 4k 

33.10 166.2 

ACKHOFF, PETER 84-243PHX D AZ 9/24/86 19 PERMANENT INJUNCTI

3
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ACLI INTERNATIONAL COMMODITY SERVICES, INC. 

86-27 CFTC 7/25/86 4(g) 1.31(a) 

1.35(a) 1.37(a) 1.38(b) 17.00(a)(1) 17.00(b) 17.01(b) 166.3 

ACRO INFORMATION SERVICE, INC. 

01-06926 CD CAL 7/1/03 4b(a)(i)-(iii) 

4(a) 

PERMANENT INJUNCTI

ADAMS, RICHARD 98-CIV-1365 SD NY 3/3/98 PRELIMINARY 

INJUNCTION 

ADKINS, DAVID 87-18 CFTC 7/7/88 4(a) ADLER, SEYMOUR HAROLD 85-6705 SD FL 9/30/85 4(a) 

4b(A) 4b(C) 

 PERMANENT INJUNCTI

ADM INVESTOR SERVICES, INC. SD-97-5 CFTC 5/16/97 8a(3)(N) 

8a(4) 

ADRIAN DAY INVESTMENT ANALYST L.P. 

92-1 CFTC 9/29/92 4c(b) 

4d(1) 

1.55 30.3(a) 30.4(b) 30.6 33.3(b) 33.7 

ADVENT CAPITAL PARTNERS, LTD. 

1:02-CV-1381 ND GA 4/2/03 PERMANENT INJUNCTI

4
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ADVEST, INC. 88-29 CFTC 12/19/89 4b(A) 

4k(1) 

1.35 166.2 

ADVICORP ADVISORY & FINANCIAL CORP., S.A. 

85-12 CFTC 1/6/86 4b(A) 

6(b) 6(c) 9(b) 13(a) 

AEP ENERGY SERVICES C2 03 891 SD OH 9/30/03 COMPLAINT FILED AFFILIATED PAYROLL SERVICES, INC. 

02-60769 SD FL 11/10/03 DEFAULT ORDER 

AGRIDATA 76-21 CFTC 1/11/79 4b 

4m 4o 

AGRO-COMMODITIES, INC. 79-30 CFTC 4/21/80 4b 

4d 4o 6b 

1.10c 

AHE CORPORATION 87-N-370WWE D CT 8/23/88 4b(A) 

4m(1) 4o(1) 9(a) 

3.4 4.20(a) 4.20(h) 4.21(a) 

PERMANENT INJUNCTI

AHRENS, KENT ALLEN 1-96-1855 MD PA 10/22/96 4b(a) 

4c(b) 4o(1) 4k(3) 4n(3)(A) 

33.10 32.9 4.33(a) 

PERMANENT INJUNCTI

5
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

AIM INTERNATIONAL, INC. 95-6970 SD FL 11/5/98 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 

4.21 4.31 

PERMANENT INJUNCTI

AIZEN, ALEKSANDER 03 CV 1796 ND NY 5/23/03 PRELIMINARY 

INJUNCTION 

AKAR, EMIL A. 79-21 CFTC 2/23/81 6(b) AKAR, EMIL A. 82-29 CFTC 2/24/86 

ALAMA, SAMUEL 75-12 CFTC 12/30/75 4d 1.20 

1.7 

ALAN J. RIDGE AND COMPANY, LTD. 

80-16 CFTC 3/22/83 

ALAN J. ROSENBERG, INC. 80-29 CFTC 10/21/86 4b 

4c(a) 

1.38 

ALARONFX, an Illinois Corporation 

03 C 4346 ND IL 6/24/03 STATUTORY EX PARTE 

RESTRAINING ORDER 

ALBINO, GLORIA A. 95-11 CFTC 4/23/98 4c(b) 

ALCHEMY FINANCIAL GROUP, INC. 

H-96-1213 SD TX 5/28/99 JUDGMENT 

6
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ALEMANIA, RODERICK 80-27 CFTC 1/9/84 4b 

4h 4k 

ALEXANDRE-THYSSEN, ELIZABETH 

83-19 CFTC 2/10/84 4b(A) 

4n(1) 4n(3)(A) 4n(4) 4o(1) 

1.10c 1.10d 1.14 4.21(a) 4.22(c) 4.23(a) 

ALHAMBRA SUN HING BULLION 92-9 CFTC 12/9/91 4(a) 

ALHAMBRA SUN HING BULLION LIMITED 

90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

ALI, NAWAB ALI KHAN a/k/a NAWAB KHAN AND ERIC ALI 

02-6619 CD CAL 5/11/2004 4(a) DEFAULT ORDER 

ALLEGHENY GULF INVESTMENTS 

H-03-3526 SD TX 12/17/2004 4b(a)(i)&(iii) 

4c(b) 4o(1)(A) 

33.10 4.30 

PERMANENT INJUNCTI

ALLEN, JAMES A. 79-28 CFTC 1/22/81 4c(b) 32.9 

32.3(b)(2) 

ALLEN, JEFFREY W. 04-14 CFTC 4/9/2004 4m(1) 4.31(a) & (b) COMMISSION ORDER 

ALLEN, JOSEPH L. 04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

ALLEN, RICHARD C. 80-7 CFTC 6/26/84 4b 

4o 4k 4n 4f 8a(3) 

1.10(c) 1.10(d) 1.14 

ALLEN, ROBERT CARTER 76-19 CFTC 12/27/76 4b 

4o(1) 4m 

7
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ALLIANCE EQUITY GROUP, INC. 02-61160 SD FL 7/2/03 4c(b) 32.9 

32.11 33.3 

PERMANENT INJUNCTI

ALLIED FINANCIAL GROUP, INC. C2-94-981 SD OH 11/19/97 4b(a)(i) 

4b(a)(ii) 4o(1) 4n(3)(A) 4m(1) 4k(s) 

4.20(c) 4.23 

PERMANENT INJUNCTI

ALLOTTA, GREG 04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

ALM, CARL D. 99-11 CFTC 6/22/2004 COMMISSION ORDER 

ALMGREN, CARLTON G. 78-48 CFTC 1/31/84 4b(A) 

4d(2) 4g(1) 

1.20 1.21 1.37 

ALSAFARI, ABDULLA a/k/a VINCENT ALSAFARI a/k/a VINCENTA ALSAFARI a/k/a VICENTA ALSAFARI individually and d/b/a YENTRADING.COM 

C 00 3202 ND CAL 4/2/02 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) PERMANENT INJUNCTI

ALTER, JOSEPH 79-1 CFTC 9/27/79 

ALTER, JOSEPH D. 77-2678EW SD NY 6/22/77 4c(b) 

4o(1) 

30.01 32.8(c) 

PRELIMINARY INJUNCTION 

ALTIERI, LINDA FRANCIS 88-21 CFTC 12/16/88 4b 

8
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ALTSCHULER, MELVOIN & GLASSER, LLP 

04-29 CFTC 9/30/2004 COMPLAINT FILED 

AMALGAMATED REDEMPTION CENTERS, INC. 

87-2591HAA D NJ 11/14/91 4(a) 

4b(A) 

PERMANENT INJUNCTI

AMERICAN BOAD OF TRADE, INC. (THE) 

79-2134VB SD NY 10/30/81 

5/24/85 

4c(b) 4c(c) 

32.7 32.11 

PERMANENT INUNCTIO

AMERICAN COAL COMPANY, INC. 

81-2250-W WD TN 1/22/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

AMERICAN COMMODITIES TRADING SYSTEMS 

80-0689 SD NY 7/22/81 4 

4b 

AMERICAN COMMODITY GROUP CORPORATION 

82-6 CFTC 5/22/85 

AMERICAN COMMODITY GROUP CORPORATION 

82-6108 SD FL 1/7/83 4 

4h 4n(3)(A) 4o(1) 

4.32 PERMANENT INJUNCTI

AMERICAN CURENCY EXCHANGE, INC. 

79-4867 SD NY 10/30/79 4c(b) 

4c(c) 

PERMANENT INJUNCTI

AMERICAN ELECTRIC POWER COMPANY, INC. 

C2 03 891 SD OH 9/30/03 COMPLAINT FILED 

AMERICAN FUTURES CORPORATION 

88-4 CFTC 2/11/88 4f(2) 

6(b) 

1.10(b)(2) 1.10(d) 1.17(a) 

AMERICAN FUTURES GROUP, INC. 

95-15 CFTC 8/20/97 

AMERICAN FX, LLC 03-13 CFTC 6/6/03 4(a) 

4b(a) 

1.1 COMMISSION ORDER 

9
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

AMERICAN HERITAGE RESEARCH, INC. 

85-1229 SD OH 8/2/85 4(a) PERMANENT INJUNCTI

AMERICAN INTERNATIONAL TRADING CO. 

76-20 CFTC 9/29/76 4b 

AMERICAN INTERNATIONAL TRADING COMPANY 

76-2095R CD CA 7/30/76 4b 

4c 

 PERMANENT INJUNCTI

AMERICAN METALS EXCHANGE CORP. 

87-2591HAA D NJ 11/14/91 4b(A) 

4(a) 

PERMANENT INJUNCTI

AMERICAN MONETARY ASSOCIATED SERVICES, INC. 

82-43 CFTC 9/24/84 4b 

4n(3) 4n(4) 4o(1) 

4.20(c) 4.21 4.22 4.24(a) 

AMERICAN MONETARY INVESTMENTS, INC. 

84-0621-R ND TX 11/19/84 4d(1) 

4d(2) 4k 4(a) 4b(D) 4b(A) 4o(1) 4n(3) 

1.20 1.31 4.32 4.31 

PERMANENT INJUNCTI

AMERICAN OPTIONS CORPORATION 

75-3355 CD CA 10/22/75 4c(b) 

4m 

30.01 PERMANENT INJUNCTI

AMERICAN PETROLEUM & OIL EXCHANGE 

80-0689 SD NY 9/19/80 4 

4h 4b 

 PERMANENT INJUNCTI

AMERICAN POTATO EXPORTERS, INC. 

79-36 CFTC 8/24/81 4a(2)(B) 

6(b) 

150.10(a) 18.00 

10
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

18.01 18.03 19.00 19.04 19.10 

AMERICAN TRADING GROUP 87-6637 SD FL 8/30/88 4d(1) 

4k(1) 

 PERMANENT INJUNCTI

AMERICAN-OVERSEAS TRADING CORPORATION 

75-1970A ND GA 10/15/76 4c(b) 

4m 

30.01 30.02 

PERMANENT INJUNCTI

AMERINATIONAL FINANCIAL SERVICES 

96-D-389 D COL 1/24/97 DEFAULT JUDGMENT 

AMEROGROUP LIMITED 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

AMGINE INC., a Nevada Corporation f/d/b/a BRITISH CAPITAL GROUP 

03 C 4346 ND IL 6/24/03 STATUTORY EX PARTE 

RESTRAINING ORDER 

AMICI, JAMES JOHN 79-3558 SD FL 2/12/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

AML FUTURES, INC. 86-27 CFTC 7/25/86 4(g) 1.31(a) 

1.35(a) 1.37(a) 1.38(b) 17.00(a)(1) 17.00(b) 17.01(b) 166.3 

AMMONS, JAMES O. 86-H-4366 SD TX 3/9/87 4(a) 

4b(A) 

 PERMANENT INJUNCTI

11
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

AMODEO, FRANK 93-2 CFTC 3/24/04 COMMISSION ORDER AMOS, WILLIAM E. CV-98-N-1755-S ND ALA 7/7/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4k(2) 4o(1)(A) 4o(1)(B) 4n(4) 

4.20(c) 3.21(a) 4.21 4.22 4.24 4.25 4.26 

RESTRAINING ORDER 

AMUNDSON, LEE DONALD 98-4 CFTC 8/24/98 4(a) 

4b(a) 4o(1)(A) 4o(1)(B) 

ANCHETA, ROMEO a/k/a ROGER BARRETO 

02-6619 CD CAL 5/11/2004 4(a) DEFAULT ORDER 

ANDERSEN, ALLEN 2:04CV00804 BSJ D UT 9/1/2004 COMPLAINT FILED ANDERSON FAMILY TRUST 95-C-5422 ND IL 9/22/95 4b(a)(i) 

4b(a)(ii) 4d(1) 4d(2) 4m(1) 4o(1) 9(a)(1) 

RESTRAINING ORDER 

ANDERSON, ALLEN 1:02CV00101 D UT 2/6/03 4b(a)(i)-(iii) 

4o(1) 4m(1) 

4.21 4.14(a)(9) 

PRELIMINARY INJUNCTION 

12
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ANDERSON, CHRIS E. 88-18 CFTC 6/7/88 4b(A) 

4k(1) 6(b) 

1.31(a) 166.2 166.3 

ANDERSON, DEIRDRE 02-14 CFTC 6/6/03 4b COMMISSION ORDER ANDERSON, GARY BRUCE 950C05422 ND IL 4/25/97 4d(1) 

4m(1) 4b(a)(i) 4b(a)(ii) 4o(1) 9(a)(1) 4d(2) 

PERMANENT INJUNCTI

ANDERSON, ROBERT F. 80-22 CFTC 10/21/83 4b 

ANDERSON, ROBERT F. SD-85-2 CFTC 3/30/87 

ANDREWS, ANTHONY F. 96-2185 D AZ 1/22/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 4d(1) 4d(2) 

4.20(a) 4.20(b) 4.20(c) 4.21 

PERMANENT INJUNCTI

ANDREWS, CHARLES E. SD-95-13 CFTC 5/9/95 

ANDREWS, CHARLES E. SD-95-18 CFTC 8/7/95 ANDREWS, HAROLD 76-2095R CD CA 7/30/76 4b 

4k 

 PERMANENT INJUNCTI

13
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ANDREWS, HAROLD LEIGH 76-14 CFTC 6/23/76 ANDREWS, PATRICIA G. 96-2185 D AZ 1/22/98 

ANGELL, GEORGE 02-08 CFTC 3/6/02 4o(1)(A) 

4o(1)(B) 

4.41(a) 4.41(b)(1)(i) 

COMMISSION ORDER 

ANGLO-AMERICAN, LTD. 80-01109 CD CA 5/7/80 4 

4h 

PERMANENT INJUNCTI

ANGLO-SWISS METALS LTD. 87-2591HAA D NJ 11/14/91 4b(A) 

4(a) 

PERMANENT INJUNCTI

ANIXER, SCOTT C. 91-2 CFTC 12/17/90 4c(a)(A) 1.38(a) ANNAPOLIS FUNDING COMPANY 

80-1723 D MD 12/31/80 4c(b) 

4c(c) 

32.9 PERMANENT INJUNCTI

ANTHONY, MICHAEL 85-1555 ND CA 11/6/87 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

ANTONACCI, GARY S. 83-37 CFTC 4/18/90 4n 

6(b) 

4.21(a) 4.21(g) 4.21(h) 4.31(a) 4.31(f) 4.31(g) 

ANTONACCI, GARY S. 98-8 CFTC 3/5/98 4m(1) 

14
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

APACHE TRADING CORPORATION 

87-14 CFTC 8/25/89 4c(b) 

4k(1) 6(b) 

33.10 

APPLETON, PHILIP S. 78-1604CSH SD NY 12/7/78 4f 

4g 6(b) 

1.10 1.17 1.18 

PERMANENT INJUNCTI

APPLIED CAPITAL MANAGEMENT, LLC 

1:99-CV-138 E.D TN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4o(1) 4k(2) 4n 9(a)(3) 

4.21 4.22 

PERMANENT INJUNCTI

AQUILA MERCHANT SERVICES, INC. 

04-08 CFTC 1/28/2004 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

ARABATZIS, STEVEN M. 78-52 CFTC 3/5/84 4c(b) 

4k 

32.3(b) 32.5(a) 32.5(c) 32.5(d) 32.7(e) 32.9 

ARABATZIS, STEVEN M. 79-1671 SD NY 1/1/84 4b 

4c(b) 4c(c) 4k 4o 

32.3 32.5 32.7(e) 32.9 32.11 

PERMANENT INJUNCTI

ARAKELIAN, ARTOUR 04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

ARCHARAY ENTERPRISE CORPORATION 

79-4873 SD NY 10/23/79 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

15
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ARCHER, STEVEN DOYLE 78-32 CFTC 12/12/78 4c(b) 30.01 

32.9 

ARCUS, ARNOLD 79-26 CFTC 1/6/82 4c(b) 32.9 ARCUS, ARNOLD 79-53 CFTC 7/17/79 

ARGUS CORPORATION 90-26 CFTC 9/18/90 4d(2) 

4g 

1.12(d) 1.20(c) 1.21 1.33(f) 1.37 166.3 

ARMSTRONG REPORT, INC. 85-47 CFTC 2/8/93 4m 

4b(A) 4o(1) 

4.32 4.31(b) 4.41(a) 4.41(b) 

ARMSTRONG, MARTIN A. 85-47 CFTC 3/10/95 4b(A) 

4o(1) 

4.31(a) 4.31(b) 4.41(a) 4.41(b) 

ARMSTRONG, MARTIN A. 87-10 CFTC 7/16/87 

ARMSTRONG, MARTIN A. 99-CIV-9669 S.D. NY 11/30/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m 4o 

PRELIMINARY 

INJUNCTION 

ARNDT, GEORGE PHILIP 86-31 CFTC 8/19/86 4o(1) 4.41(a) 

4.41(b) 

ARNOLD, CURTIS MCNAIR 97-12 CFTC 8/14/00 4b(a)(i) 

4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

ARNOLD, EDWARD A. 79-35 CFTC 3/21/79 4b(D) ARNOLD, WILLIAM EUGENE 98-4 CFTC 12/18/98 4(a) 166.4 

16
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a) 4o(1)(A) 4o(1)(B) 

ARNOUX, MARK HARRY 86-22 CFTC 9/10/86 4b(A) 

4b(C) 

166.2 

ARONOWITZ, PAUL 98-CIV-1365 SD NY 3/3/98 PRELIMINARY 

INJUNCTION 

ARS FINANCIAL SERVICES H-96-1213 SD TX 6/8/98 4b(a)(ii) 

4o(1) 4n(4) 

4.20(b) 4.20(c) 4.13(b)(1) 4.13(b)(2) 4.30 

PERMANENT INJUNCTI

ARSENAULT, JOSEPH S. 04-21346 SD FL 6/7/2004 COMPLAINT FILED 

ARTHUR ANDERSEN & CO. 86-37 CFTC 9/30/86 1.16 

ASARO, FRANK 03-2193 D KS 4/22/03 4o(1)(A) & 

(B) 

4.41(a) STATUTORY 

RESTRAINING ORDER 

ASHER, DANIEL B. SD-98-6 CFTC 5/29/98 8a(3)(M) 

8a(4) 

ASHMAN, BRADLEY STEVEN 91-17 CFTC 4/22/98 4b(A) 

4b(B) 4b(D) 4c(a)(A) 

1.38(a) 

ASHTON AND ST. JOHN'S 80-3707 SD NY 3/10/81 4o(1) 4.22 PERMANENT INJUNCTI

17
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INCORPORATED 4n(4) 

4n(3) 

4.23 4.24 4.21(b) 4.21(a) 

ASHTON AND ST. JOHN'S INCORPORATED 

81-10 CFTC 3/27/81 4o(1) 

4n(3)(A) 4n(4) 

4.21 4.22 4.23 4.24 

ASSOCIATED FINANCIAL SERVICES, INC. 

87-6895G SD FL 11/19/87 4(a) 

4b(A) 

 PERMANENT INJUNCTI

ASTOR AND MONTCALM, INC. 79-1671 SD NY 1/1/84 4b 

4c(b) 4c(c) 4k 4o 

32.3 32.5 32.7(e) 32.9 32.11 

PERMANENT INJUNCTI

ATHANSON, HARRY J. 86-15 CFTC 8/27/86 4b(A) ATLANTIC FUTURES INC. 85-1 CFTC 4/23/85 4b(A) 

4o(1) 

4.21(a) 4.21(a)(3) 166.3 4.41(a) 

ATLANTIC GOLD COINS, INC. 84-6717 SD FL 12/4/84 4(a) PERMANENT INJUNCTIATLANTIC MERCANTILE GROUP, INC. 

91-CIV-6136 SD FL 8/6/92 4b 

4c(b) 

33.7(f) 33.10 166.2 166.3 

PERMANENT INJUNCTI

ATLANTIC MERCANTILE GROUP, INC. 

92-23 CFTC 7/27/92 4b 

4c(b) 

33.7(f) 33.10 166.2 166.3 

ATLANTIC TRADING COMPANY 80-9 CFTC 12/9/81 4b(C) 

4d(2) 4f(2) 

1.17(a) 1.23 1.31 

18
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4g 1.32 

1.33(a)(1) 1.34 1.35(a) 1.46(a) 

AUCELLA, DAVID J. 86-6 CFTC 1/15/91 4b 166.3 

AUGELLO, VINCENT SD-96-1 CFTC 11/27/96 8a(2)(D) AUGELLO, WILLIAM 02-60769 SD FL 8/31/2004 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

AUGUSTINE, JAMES DEMETRIUS 

86-1479G ND TX 6/16/86 4c(c) 

4c(b) 

PERMANENT INJUNCTI

AURIC EQUITY CORPORATION 80-0421 SD NY 6/21/83 4b(A) 

4n(3)(A) 4n(4) 4o(1) 

4.20(c) 4.21(a) 4.22(a) 4.23 

PERMANENT INJUNCTI

AUSTER, MORRIS 79-61 CFTC 10/4/81 6(b) 

AUSTER, MORRIS 83-39 CFTC 11/8/83 AUTOMATED TRADING SYSTEMS, INC. 

96-08202 SD FL 6/25/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1)(A) 4o(1)(B) 4d(1) 4d(2) 4m(1) 4k(1) 4k(2) 9(a) 4n 

1.20(a) 4.20(c) 3.12(a) 4.21 4.24 4.26 4.22 4.23 4.25 

PERMANENT INJUNCTI

AVCO FINANCIAL CORP. 97-CIV-3119 SD NY 10/13/98 1(a)(5) 

4k(3) 4o(1)(A) 

1.33(a)(4) 4.41 

19
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1)(B) 4b(a)(i) 

AXESS TRADE CO., INC. 04 CV 4293 SD NY 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

AYM FINANCIAL CORP. 96-CV-2640 E.D. PA. 10/20/99 FINAL ORDER OF 

DISTRIBUTION, SUPPLEMENTING PERMANENT INJUNCTI

B&B COMMODITIES 80-28 CFTC 3/27/86 4c(a) 

BABIO, JOSEPH JR. 91-22 CFTC 6/30/92 4k(2) 

BACHUS & STRATTON COMMODITIES 

94-2 CFTC 10/21/93 4b(a) 

4c(b) 4o 

33.7(f)' 

BACHUS & STRATTON COMMODITIES, INC. 

92-6427 SD FL 10/18/93 4b(a) 

4c(b) 4o 

33.7(f) 33.10 4.31(g) 4.41(a) 166.3 

PERMANENT INJUNCTI

BAILEY, JEFFREY T. d/b/a JMK FUTURES FUND 

C-1-01-212 SD OH 12/18/01 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

4.20(c) 4.21 

PERMANENT INJUNCTI

BAILIN, ROBERT H. 93-20 CFTC 12/14/93 4c(a)(A) 1.38(a) 

20
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BAIRD, LINDA RAE 80-27 CFTC 1/9/84 4b 

4h 4k 

BAKAL, BARNETT 89-27 CFTC 1/16/92 4a(5) 

4i 6(b) 

18.04 

BAKAS, DAVID PETER 75-5 CFTC 9/5/75 4b 

4d 9 

1.20 

BAKER, DAVID ANDREW 90-31 CFTC 10/29/91 4b(A) 

4c(a)(B) 4b(D) 4g(1) 4c(a)(A) 

1.31(a) 1.35(a-1) 1.38(a) 

BAKER, JOHN M. 93-12 CFTC 5/28/97 4b(a)(iv) 1.38(a) 

BAKER, ROBERT V. 89-2-SD CFTC 3/19/90 

BAKER, SANDY 83-16 CFTC 2/15/83 4e 

BAKSHEEFF, CONSTANTINE 78-48 CFTC 1/31/84 4b(A) 

4d(2) 4f(2) 4f(1) 4g(1) 

1.37 1.20(a) 1.21 1.17 1.10(f) 

BAKSHEEFF, CONSTANTINE 80-34 CFTC 3/20/86 

21
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BALFOUR MACLAINE FUTURES, INC. 

90-1 CFTC 4/17/90 4c(a)(A) 166.3 

BALFOUR MACLAINE INTERNATIONAL, LTD. 

90-1 CFTC 4/17/90 4c(a)(A) 

BALFOUR MACLAINE, INC. 81-2431 SD NY 10/14/81 4d(2) 1.20(a) 

1.22 

PERMANENT INJUNCTI

BALFOUR MACLAINE, INC. 88-28 CFTC 3/21/89 4g 

4i 

17.00(a) 17.00(e) 17.00(f) 17.01 17.02 166.3 

BALLARD, TERENCE 86-36 CFTC 3/27/87 4b(A) 1.56(c) 

30.02 166.3 

BALLY, JEAN-JACQUES 85-12 CFTC 1/6/86 4b(A) 

6(b) 6(c) 9(b) 13(a) 

BALTER, JACK 85-72563 ED MI 11/1/85 4(a) PERMANENT INJUNCTIBALTER, WILLIAM 85-72563 ED MI 11/1/85 4(a) PERMANENT INJUNCTIBAMAODAH, AHMED ABDUL QUAWI 

84-4 CFTC 4/18/86 4i 15.01(c) 

18.04 

BAN, MARTA 97-6800 CD CAL 5/4/98 4b(a)(i) 

4b(a)(ii) 4m 4o(1) 

4.20(a) 4.20(b) 4.20(c) 4.21(a) 4.21(b) 

PERMANENT INJUNCTIO

BANDEMER, RICHARD A. 95-6221 SD FL 11/27/96 4m(1) 

4o(1)(A) 4o(1)(B) 4b(a)(i) 

4.41(a)(1) 4.41(a)(2) 

PERMANENT INJUNCTI

BANQUE POPULAIRE SUISSE 80-8 CFTC 10/9/81 4i 21.02 

22
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BARAGOSH, ESFAND CIV-PJM-98-3316 D. MD. 3/20/00 4(a) 

4b(a)(i) 4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 

SUMMARY JUDGEMENT 

BARAL CORPORATION 83-CV-1885 ED MI 7/6/85 4o(1) 

4d 4n(3) 4b 

4.21(a) 4.41(b) 1.31 4.23 

PERMANENT INJUNCTI

BARATH, HARRY 79-3 CFTC 1/8/79 BARATZ, PHILIP J. 87-14 CFTC 4/26/88 166.3 

BARBACK, RONALD 3:97CV638 ED TN 3/24/98 4b(a)(i) 

4o(1) 

PERMANENT INJUNCTI

BARBAKOW, MAURICE 79-03851 CD CA 5/10/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

BARBARINO, FRANK SD-99-3 CFTC 12/21/99 8a(3)(M 

8a(4) 

COMMISSION ORDER 

BARBEE, PHILIP 86-36 CFTC 3/27/87 166.3 

BARCAL, WILLIAM A. III 91-16 CFTC 5/5/94 4b(B) 

4b(D) 

23
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BARCLAY COMMODITIES CORPORATION 

78-1069 SD FL 10/26/81 4c(b) 

4o(1) 

32.5(a) 32.8 32.9 30.01(c) 

PERMANENT INJUNCTI

BAREN, MARTIN RICHARD SD 95-2 CFTC 4/3/95 

BARGER, EDWARD L. 86-16 CFTC 2/3/87 4(a) BARLEY, CHARLES M. 90-30 CFTC 9/25/90 4a(5) 

4c(a) 4g 

17.00 17.01 1.35(a-1)(1) 

BARNARD, ROSS A. 86-6 CFTC 11/28/99 4b 166.3 

BARNES, DON F. 78-120A ND GA 1/26/78 4f 

4g 

1.17 1.18 1.32 

PERMANENT INJUNCTI

BARNES, DON F. 78-45 CFTC 8/2/79 4f(1) 

4f(2) 4g 

1.17 1.18 1.32 

BARRETT BELL INVESTMENT CORP. 

93-C1022E ND OK 12/11/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1)(A) 4n(3)(A) 9(A)(1) 4o(1)(B) 

4.21 4.22 

PERMANENT INJUNCTI

BARRICK, LARRY D 81-0633 D UT 8/26/81 4o(1) PERMANENT INJUNCTI

BARRIER, JERRY B. 85-5 CFTC 8/30/85 4a(2)(B) 

4i 

18.00 18.01(a) 18.01(d) 18.04 150.2 

BARRY CALLEBAUT SOURCING AG 

04-16 CFTC 5/13/2004 4c(a) 1.38(a) COMMISSION ORDER 

BARTELSTEIN, ALAN M. 85-46 CFTC 2/21/86 4c(a)(B) 

4e 

1.38(a) 

24
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BARTEX PETROLEUM CORP. 80-0689 SD NY 7/19/82 4b PERMANENT INJUNCTIBARTH, CHARLES NICHOLAS 95-279-L-S WD KY 12/1/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4d(1) 4o 4m 4n 4k(1) 4k(2) 

4.20 4.23 3.12 4.21 

PERMANENT INJUNCTI

BARTLETT, ROBERT S. 92-041-LDG D NV 8/3/93 BARTON, MATTHEW FRANCIS SD 94-3 CFTC 1/5/94 

BARTONE BROKERAGE CORPORATION 

88-34 CFTC 9/30/88 

BARTONE, WILLIAM A. JR. 88-0584OHLH CD CA 9/30/88 4(a) 

4b(A) 

 PERMANENT INJUNCTI

BARTONE, WILLIAM A. JR. 88-34 CFTC 9/30/88 4a 

4b(A) 

BASHISTA, RONALD 78-48 CFTC 1/31/84 4g(1) 

4d(2) 

1.37 1.20(a) 1.21 

BASMAN, LEONARD 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

BASSETT, RONALD K. 2-02 CV-432 D UT 5/2/02 4b(a)(i) COMPLAINT FILED 

25
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(iii) 4(a) 

BATES, UNDERWOOD & CO., INC. 

79-03851 CD CA 5/9/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

BAUER, FRANK J. 79-30 CFTC 4/21/80 4b 

4d 4c(b) 4o 6(b) 

32.3 1.10b 1.10c 

BAUGH, DERON 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

BAUMAN, BERNARD 79-1 CFTC 2/1/85 

BAUMAN, BERNARD 79-3558 SD FL 2/6/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

BAUMGARD, JAMES 00-07 CFTC 3/7/00 4b(a)(i) 

4b(a)(iii) 4c(b) 

33.10(a) 33.10(c) 

COMMISSION ORDER 

BAXTER INVESTMENTS, INC. 88-2185 SD FL 12/14/89 4b 

4c(b) 4g(1) 4n(3) 9(a) 4k 

33.10 1.31 1.35 4.23 4.32 166.3 3.12 3.16 

PERMANENT INJUNCTI

BAXTER INVESTMENTS, INC. 90-2 CFTC 12/1/89 4b 

4c(b) 4g(1) 4k 4n(3) 9(a) 

3.16 4.23 4.32 33.10 166.3 

BAY HARBOR TRADING COMPANY 

SD 02-03 CFTC 5/28/02 8a(2)(H) COMMISSION ORDER 

BE LOW, RICHARD 86-19 CFTC 2/10/87 4(a) 

26
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BEACON HILL ASSET MANAGEMENT, LLC 

SD 03-01 CFTC 1/7/03 COMMISSION ORDER 

BEAR STEARNS & CO., INC. 92-5 CFTC 11/19/91 6(b) 166.3 

1.35(a-1)(2) 

BEAR, STEARNS & CO., INC. 86-28 CFTC 7/25/86 166.3 

BEAR, STEARNS AND COMPANY 

80-31 CFTC 3/14/83 4b 

4b(D) 4c(a) 4g 

1.35 1.37 1.38(a) 

BEARD, BARRY W. 81-2250-W WD TN 5/6/86 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

BEARE, BRUCE R. 89-5363 CD CA 3/5/91 4c(b) 32.9 

33.10 166.3 

PERMANENT INJUNCTI

BEARE, BRUCE R. 91-5 CFTC 3/5/91 4c(b) 32.9 

33.10 166.3 

BEARE, DAVID C. 89-5363 CD CA 3/5/91 4c(b) 32.9 

33.10 166.3 

PERMANENT INJUNCTI

BEARE, DAVID C. 91-5 CFTC 3/5/91 4c(b) 32.9 

33.10 166.3 

BECHAM, GLENN L. 85-3 CFTC 7/3/85 4o(1) 

4n(3)(A) 4n(4) 

4.24 4.23(a) 4.22(b) 4.21(b) 

BECK, LAWRENCE A. 90-14 CFTC 3/12/91 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

BECKWITH, RICHARD SD 93-9 CFTC 7/16/93 

BEDERSON, EDWIN 79-4867 SD NY 9/29/79 4c(b) 

4c(c) 

 PERMANENT INJUNCTI

BEDERSON, EDWIN 80-0689 SD NY 7/15/81 4 

4b 

PERMANENT INJUNCTI

27
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BEHAM, PHILIP L. 81-7 CFTC 2/9/81 4k(1) BEHR, ERNST H. 04-2181 WD TN 9/13/2004 COMPLAINT FILED 

BELANGER, GEORGE d/b/a IFC L.C., INVESTMENT FREEDOM CLUB, VENTURE FREEDOM FUND LTD., and VENTURE FREEDOM FOUNDATION 

8:03-CV-54-T MD FL 2/5/03 PRELIMINARY 

INJUNCTION 

BELIDA, CHARLES 78-6508 SD FL 6/28/79 BELL EGG FARMS, INC. 75-13 CFTC 8/16/77 6(b) 

6(c) 9(b) 

BELL, CRAIG H. 90-29 CFTC 5/30/91 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 4g 

1.31(a)(1) 1.35(a) 1.38(a) 

BELL, NORMAN 75-13 CFTC 8/16/77 6(b) 

6(c) 9(b) 

BELL, PAUL RICHARD 89-4 CFTC 9/15/95 4b(A) 

BELL, RICHARD CONROY 93-C1022E ND OK 12/11/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1)(A) 9a(1) 4o(1)(B) 4n(3)(A) 

4.21 4.22 

PERMANENT INJUNCTI

BELLASSAI, NANCY A. 01-01 CFTC 7/25/03 4b(a)(i) & ALJ INITIAL DECISION 

28
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

(iii) 4m 4o(1) 

BELLMAN, LEON 79-3558 SD FL 2/5/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

BELLMAN, LEON SD 82-1 CFTC 12/8/81 BELLO, ANDREW JR. 91-22 CFTC 6/30/92 4b(A) 

4b(B) 4k(2) 4n(3) 4n(4) 4o(1) 

4.21(a) 4.22(a) 4.23(a) 

BELPEDIO, LOUIS RAYMOND SD 95-8 CFTC 1/17/95 BELZ, RICHARD G. 3:99-CV-378 ED TN 9/3/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4k(2) 4m(1) 4n(4) 4o(1) 

3.12(a) 1.31 4.21 4.22 4.23 4.24 4.25 4.26 

PERMANENT INJUNCTI

BEMILLER, BART 3:98CV0281AS N.D. IND. 1/12/00 4b(a)(i) 

4m(1) 4o(1) 

4.20(a)(1) 4.20(c) 4.21 4.24 

PERMANENT INJUNCTI

BENGAL TRADING CORPORATION 

80-6563 SD FL 02/09/81 4d(2) 

4f(2) 

1.20(a) 1.17(a) PERMANENT INJUNCTI

BENGSON, TIMOTHY M. 00-21 CFTC 10/2/00 4b(a)(i) 

4b(a)(iii) 

COMMISSION ORDER 

29
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BENJAMIN, MAURICE 80-3952 SD NY 12/23/80 4d(2) 

4f(1) 4f(2) 4k 4b 

1.10(a) 1.10(b) 1.10(d)(1) 1.17(a)(1) 1.20(a) 1.32 

PERMANENT INJUNCTI

BENJAMIN, MAURICE 82-23 CFTC 2/23/84 6(b) 

4f(1) 4k(1) 

1.10(a)(1) 

BENNETT, RICHARD W. 78-48 CFTC 1/31/84 4g(1) 

4d(2) 

1.37 1.20(a) 1.21 

BENSON-QUINN COMMODITIES INC. 

SD-97-6 CFTC 5/16/97 8a(3)(N) 

8a(3)(4) 

BENTLEY, DAVID 82-6 CFTC 05/22/85 4o(1) 1.14 

BENTLEY, DAVID L. 82-6108 SD FL 01/07/83 

06/09/84 

4 4h 4n(3)(A) 4o(1) 

4.32 PERMANENT INJUNCTI

30
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BENTLY, DAVID L. 84-6401NCR SD FL 04/09/85 4(a) PERMANENT INJUNCTI

BENUN, MORRIS J. 99-CIV-4822 SD NY 07/19/99 4b(a)(i) 

4b(a)(ii) 4o(1)(A) 4o(1)(B) 4n(3) 9(a)(1) 

1.31 4.20(c) 4.23 

PERMANENT INJUNCTIJUDGMENT 

BERG, HOWARD G. 88-32 CFTC 9/30/88 166.3 

BERG, LAWRENCE M. 89-29 CFTC 9/29/89 4a(2)(B) 150.2 

BERGAMO, GARY R. 92-19 CFTC 11/20/95 4b(A) 

4b(B) 4b(C) 4b(D) 4(c)(A) 4(c)(B) 4g 

1.38(a) 1.31(a) 1.35(a) 

BERGAMO, GARY RALPH 83-27 CFTC 4/12/84 4e 

BERGEN, RAY A. 87-1 CFTC 11/7/86 4c(a)(A) 1.38 

BERGSTROM, CHARLES W. 89-27 CFTC 1/16/92 4c(a)(A) 

4c(a)(B) 

1.38 

BERGSTROM, CHARLES W. SD-93-15 CFTC 5/11/94 

BERMAN, HAROLD 76-20 CFTC 9/29/76 4b 

BERMAN, HERMAN 76-2095R CD CA 7//30/76 4b 

4c 

 PERMANENT INJUNCTI

BERMAN, MELVIN 76-20 CFTC 9/29/76 4(b) BERMAN, MELVIN 76-2095R CD CA 7/30/76 4b PERMANENT INJUNCTI

31
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c 

BERMONT, RICHARD 88-10 CFTC 11/22/89 166.3 

BERNTH, DOUGLAS ERIK 88-8130 SD FL 6/17/88 4b 

4b(A) 4b(B) 4b(C) 9(a) 4d(1) 4k(1) 

PRELIMINARY 

INJUNCTION 

BERRY, FELIX A. SD-99-6 CFTC 6/2/99 8a(2)(E) BERTUCCI, JOSEPH MICHAEL 83-50 CFTC 8/4/83 4e 

BERUS, GARY 96-74525 ED MI 5/20/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4m 4k(2) 4o(1)(B) 9(a)(1) 4n(4) 

4.21(a) 4.21(b) 4.22 4.20(c) 

PERMANENT INJUNCTI

BERZINS, PETER 3:99CV592 E.D. VA. 1/18/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4m(1) 4n(4) 4o(1)(A) 4o(1)(B) 

33.10 4.20 4.21 4.22(a) 

PERMANENT INJUNCTIO

BESNER, ROBERT A. 96-C-0076 10/03/96 4b(a)(i) 

4b(a)(ii) 4o(1) 9(a)(1) 

4.30 PERMANENT INJUNCTI

BEVILL BRESLER & SCHULMAN SECURITIES, INC. 

SD-85-10 CFTC 6/19/85 

BFC COMMODITIES, INC. SD-99-6 CFTC 6/02/99 8a(2)(E) 

8a(2)(H) 

32
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BIBAS LEVY CORPORATION 03-22624 SD FL 4/16/2004 4b(a)(2)(i) & 

(iii) 

1.1(b)(1) & (3) DEFAULT ORDER 

BIBAS, ZACARIAS 03-22624 SD FL 4/16/2004 4b(a)(2)(i) & 

(iii) 

1.1(b)(1) & (3) DEFAULT ORDER 

BIELFELDT & CO. 96-1 CFTC 12/2/2004 COMMISSION ORDER 

BIELFELDT, CARLOTTA 96-1 CFTC 12/2/2004 COMMISSION ORDER 

BIELFELDT, GARY K. 96-1 CFTC 12/2/2004 COMMISSION ORDER BIG RED COMMODITY CORPORATION 

78-0122 WD MO 02/15/79 4o 1.33 

1.33(a) 

PERMANENT INJUNCTI

BIG RED COMMODITY CORPORATION 

80-21 CFTC 02/23/82 4b 

4o 

BIGGS, BYRON G. 04-22 CFTC 8/11/2004 4c(a)(A) & 

(B) 

COMMISSION ORDER 

BIGGS, MICHAEL DESMOND 02-61160 SD FL 3/24/03 4b(a) 

4c(b) 

1.1(b) 32.9 

PERMANENT INJUNCTI

33
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4(a) 32.11 

33.3 

BIGHAM, ROBERT W. JR. 87-19 CFTC 03/13/95 BILAL, MUHAMMAD 79-1580 ED NY 07/13/81 4c(b) 

4c(c) 4d(2) 4f(2) 

32.11 1.17(a) 1.20(a) 

PERMANENT INJUNCTI

BILELLO, LAWRENCE J. 93-5 CFTC 06/26/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

BILLFUND, INC. 00-25 CFTC 7/17/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4n(4) 

4.20 4.21 4.22 

COMMISSION ORDER 

BILLINGS, WILLIAM G. 00-25 CFTC 7/17/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4n(4) 

4.20 4.21 4.22 

COMMISSION ORDER 

BIRMA, LTD. 2:00CV00622ST D. UT 9/25/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 

4.20(a) 4.20(c) 

PRELIMINARY INJUNCTION 

BIRMINGHAM, WILLIAM M. 87-16 CFTC 09/22/87 4b(A) 

BLANCO, FRANK 85-6705 SD FL 09/30/85 4(a) PERMANENT INJUNCTI

34
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(A) 4b(C) 

BLANKENSHIP, LARRY J. 78-10 CFTC 01/27/81 4(c) 

4b(B) 

BLANKOPH, ROBERT 80-29 CFTC 11/05/87 4c(a) 

4b 

1.38 

BLESS, JACK 79-17 CFTC 03/12/79 BLEVINS, JAY 94-661-CIV MD FL 07/08/96 4b(a)(i) 

4o1 4k(2) 

ORDER 

BLITZ, DENNIS 00-34 CFTC 9/28/00 4b(a)(i) 

4b(a)(iii) 4c(b) 4o(1) 

4.41(a) 4.41(b) 33.10 

COMPLAINT FILED 

BLJ CONSULTING CORP. 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

BLOCH, HARVEY M. 83-18 CFTC 06/20/89 4b(A) 

4o(1) 

4.21(a) 4.21(d) 

BLUE CHIP INFORMATION CORP. 

3:99-CV-378 ED TN 09/03/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4k(2) 4m(1) 4n(4) 4o(1) 

3.12(a) 1.31 4.21 4.22 4.23 4.24 4.25 4.26 

PERMANENT INJUNCTI

BLUMENREICH, WILLIAM D. 89-28 CFTC 09/29/89 4b 

35
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BLUMERT, JEFFREY S. SD-96-4 CFTC 03/07/96 8a(3)(M) 

BLUMEYER-LECKAR, NANCY J. 83-1 CFTC 06/08/83 4b(A) 

BOARD OF TRADE OF CITY OF CHICAGO 

93-17 CFTC 04/18/94 5a(a)(8) 

5a(a)(9) 

1.12(e) 1.51 1.52 

BOBO, ROBERT G. C2-94-981 SD OH 11/19/97 4b(a)(i) 

4b(a)(ii) 4o(1) 4n(3)(A) 4m(1) 4k(2) 

4.20(c) 4.23 

PERMANENT INJUNCTI

BOLT, JAMES W. 88-12 CFTC 03/11/88 4b(A) 

4o(1) 4m(1) 

4.21(a) 

BONE, ROBERT 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

BONE, ROBERT L. 80-14 CFTC 11/02/81 8b 

BONNEY, JAMES F. 98C0087C W.D. WISC. 10/22/99 SUPPLEMENTAL 

CONSENT ORDER 

BORDERS, ROBERT IV. 80-32 CFTC 12/02/85 4c(a) 1.38 BOROSAK, DAVID G. 89-9 CFTC 11/28/89 4b 

BOSTON FINANCIAL GROUP, INC. 

85-21 CFTC 09/18/85 4d(1) 

BOSTON TRADING ADVISORS, LLC 

04-03 CFTC 10/27/03 4m(1) 4.21(a) & (b) COMMISSION ORDER 

BOSTON TRADING GROUP, INC. 81-1809 D MA 07/17/81 4b(A) 

4o(1) 

4.22(c) 4.21(a) 

PERMANENT INJUNCTI

36
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4.21(b) 

BOSTON TRADING GROUP, INC. 81-22 CFTC 07/15/81 4b(A) 

4o(1) 

4.21(a) 4.21(b) 4.22(c) 

BOSTON TRADING GROUP, INC. 82-0305 D MA 05/21/85 4o(1) 

4b(A) 

4.21(a) 4.21(b) 4.21(g) 4.20(b) 4.20(c) 4.22(a)(3) 

PERMANENT INJUNCTI

.BOUTCHIE, CHRISTOPHER 01-7402 SD FL 1/20/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTI

BOWEN, WILL STEEL 3-93-0975 MD TN 04/12/95 4b(a)(i) 

4o(1) 9(a)(1) 4m(1) 

PERMANENT INJUNCTI

BOWMAN, EARL LEON H-90-559 SD TX 01/22/93 4b(A) 

4o(1) 4n(4) 4n(3) 9(a) 

4.22 4.20(c) 4.21 4.23 

PERMANENT INJUNCTI

BRADSHAW, JAMES WILLIAM 98-6 CFTC 05/27/99 4b(a)(i) 

4o(1)(A) 4o(1)(B) 4n(3)(A) 

4.35 4.33 4.36 1.31 

BRADY, MICHAEL P. 86-36 CFTC 01/19/89 4b(A) 30.02 

BRADY, RICK 89-3 CFTC 11/10/88 4c(a) 1.38(a) 

BRANCH, DAVID CLINTON 92-8529 SD FL 10/26/93 4b(a) 

4c(b) 

33.7(f) 33.10 

PERMANENT INJUNCTI

BRANCH, DAVID CLINTON 94-5 CFTC 11/03/93 4b(a) 

4c(b) 

33.7(f) 33.10 

37
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BRANDENBURG, GREGORY J. 84-3 CFTC 07/02/84 4b(A) 

BRANDENBURG, VERNON H. 84-3 CFTC 07/02/84 4b(A) BRANDON, MARVIN D. 86-4792WDK CD CAL 01/08/87 4b(A) 

4b(C) 

PERMANENT INJUNCTI

BRANDVOLD, LOYD T. 76-12 CFTC 03/11/76 BRANIFF, THOMAS M. 89-12 CFTC 08/02/89 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

BRATMAN, FRANK 84-243PHX D AZ 09/24/86 19 PERMANENT INJUNCTI

BRAVERMAN, DONALD J. 77-10 CFTC 11/13/86 

BRAY, DANA CHRISTOPHER 04-18 CFTC 7/6/2004 4g 1.35(a-1)(2)(i) 

166.3 

COMMISSION ORDER 

38
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BRAZIER CORPORATION, INC. 84-2066-ER CD CA 08/28/86 19(b) 

19(c) 4(a) 4b(a) 4b(c) 4o(1) 4o(2) 

31.1 31.2 31.03 

PERMANENT INJUNCTI

BRAZIL, THOMAS E. 04-03 CFTC 10/27/03 4k(2) COMMISSION ORDER BRECKENRIDGE FINANCIAL GROUP, INC. 

H-90-559 SD TX 01/22/93 4b(A) 

4o(1) 4n(4) 4n(3) 

4.22 4.20(c) 4.21 4.23 

PERMANENT INJUNCTI

BREECKER, HARRY 75-12 CFTC 12/30/75 4b(B) 

4b(c) 4b(D) 4d 

1.20 1.7 

BRENNAN, TIMOTHY R. 80-26 CFTC 06/27/80 4e 

BRENNER, JAMI WEISNER 00-08 CFTC 10/2/02 COMMISSION ORDER 

BRENNER, STEVEN C. 90-7 CFTC 08/16/90 14(f) 12.407(c) BRENNER, STEVEN C. 92-4350 ND IL 07/06/92 14(f) 

6(b) 8b 6(c) 

12.407(c) PERMANENT INJUNCTI

BRENNER, STEVEN C. 00-08 CFTC 10/2/02 COMMISSION ORDER 

BRIEN SULLIVAN CAPITAL MANAGEMENT, LAVA TR 

97-01478ACK D HA 01/16/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(a) 4.20(c) 4.21 

PRELIMINARY INJUNCTION 

39
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BRINKS, HANS J. 94-14 CFTC 07/19/99 

BRITISH AMERICAN COMMODITY OPTIONS CORP. 

76-15 CFTC 12/02/77 4c(b) 

4m 

32.3(a) 32.3(b)(1) 32.7(e) 32.9 

BRITISH AMERICAN COMMODITY OPTIONS CORP. 

76-3247CBM SD NY 12/19/78 4m PERMANENT INJUNCTI

BRITISH AMERICAN COMMODITY OPTIONS CORP. 

77-1822LPG SD NY 12/12/78 4c(b) 32.3(a) 

32.3(b) 32.9 

PERMANENT INJUNCTI

BRITISH AMERICAN COMMODITY OPTIONS CORP. 

77-3 CFTC 01/14/77 

BROCK INTERNATIONAL, INC. 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

BROCK RESOURCES, INC. 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

BROCKBANK, STEPHEN W. 1:02CV00101 D UT 8/13/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 

4.21 4.31 

COMPLAINT FILED 

BROCKBANK, STEPHEN W. 2:00CV00622S D UT 11/3/03 4m(1) 4.14(a)(9) PERMANENT INJUNCTIO

40
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BRODY, ROBERT JAY 83-9 CFTC 05/20/86 4e 

BRODY, WHITE & COMPANY, INC. 

85-2 CFTC 12/26/84 4d(1) 

BRONSTEIN, JACK 79-27 CFTC 01/18/80 4b(D) 

4g 

1.38 1.39 1.35 

BROOKS, NORMAN L. 92-12258 D MA 03/23/93 4(a) PERMANENT INJUNCTIBROWER, GEORGE 86-36 CFTC 03/27/87 4b(A) 1.56(c) 

30.02 

BROWN, BRENDA L. 00 C 7344 ND IL 3/27/02 ORDER 

BROWN, BRUCE N. SD 04-04 CFTC 9/23/2004 ALJ INITIAL DECISION 

BROWN, J. SPENCER 96-8 CFTC 09/03/96 4m(1) 4.31 

4.36(d) 4.41(b) 

BROWN, JAMES SPENCER 401-CV-0250-A ND TX 3/27/01 4b(a)((i) 

4b(a)(iii) 4m(1) 4o(1) 

4.41 4.41(b) 4.31 4.36(d) 

COMPLAINT FILED 

BROWN, MARTIN 00 C 7344 ND IL 3/27/02 4b(a)(i) 

4b(a)(iii) 

166.2 PERMANENT INJUNCTI

BROWN, NORMAN 78-29 09/14/78 6(b) 

BROWNLOW, RONALD L. SD 85-9 CFTC 10/29/85 

BRUBAKER, BRETT G. 98-7 CFTC 02/03/99 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

1.31 4.22(a) 4.22(b) 4.22(c) 4.22(d) 4.23 

BRUCKMANN, KURT SD 93-6 CFTC 05/04/93 8a(3)(M) 

41
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BRUGGEMANN ENERGY FUTURES, INC. 

85-33 CFTC 03/04/86 4f(1) 21.02 

BRUNO, JOSEPH J. 91-20 CFTC 03/31/92 4c(b) 33.10 

BRYANT, RICHARD C. 88-105-W SD IA 02/06/92 4b(A) 

4b(C) 9(a) 4d(1) 4d(2) 4m 4o(1) 4n(4) 

1.20(a) 4.21 4.22 

PERMANENT INJUNCTI

BT SECURITIES CORPORATION 95-3 CFTC 12/22/94 4o(1)(A) 

BUCCELLATO, RICHARD 80-28 CFTC 03/27/86 4c(a) 

BUCCELLATO, V. 80-28 CFTC 03/27/86 4c(a) BUCHBINDER, SAM SD-85-14 CFTC 11/19/85 

BUCK, RAYMOND S. 75-1 CFTC 02/09/76 4g(1) 

4i 

18.00 

BUCKEYE COUNTRYMARK INC. 97-2 CFTC 06/30/97 4(a) 

4c(b) 4m(1) 

42
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BUCKWALTER, STANLEY 80-28 CFTC 04/18/91 4c(a)(A) 

4c(a)(B) 4g 4b 

1.38(a) 1.35 1.37 

BUDICAK, LISA 99-17 CFTC 9/26/00 4g 1.35(a-1)(1) 

1.35(a-1)(2) 

COMMISSION ORDER 

BUELL, CHARLES L. 84-243PHX D AZ 01/05/85 31.1 

31.2 

PERMANENT INJUNCTI

BUFKIN, BRADFORD KENT 79-28 CFTC 02/04/81 4c(b) 32.9 

BULL & BEARS, LTD. CIV-PJM-98-3316 D MD 10/26/98 PRELIMINARY 

INJUNCTION 

BULLSEYE INTERNATIONAL, INC. 

95-6970 SD FL 11/05/98 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 

4.21 4.31 

PERMANENT INJUNCTI

BUMGARNER, NORA JO 85-6 CFTC 01/03/86 4c(a)(A) 1.38(a) 

43
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(B) 

BUNN, ROBERT J. 80-15 CFTC 08/07/81 4k 

4f(1) 

1.14(a) 1.14(d) 

BURKE, DANIEL G. SD-94-6 CFTC 03/24/94 

BURKE, MICHAEL 79-828 D AZ 05/18/81 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

BURKETT, HUGH ALAN 87-N-370WW ED CT 04/07/89 4b(A) 

4m(1) 4o(1) 9(a) 

3.4 4.20(a) 4.20(b) 4.21(a) 

PERMANENT INJUNCTI

BURNAZOS, ROBERT E. 81-1809 D MA 07/17/81 4b(A) 

4o(1) 

4.22(c) 4.21(a) 4.21(b) 

PERMANENT INJUNCTI

BURNAZOS, ROBERT E. 81-22 CFTC 07/15/81 4b(A) 

4o(1) 

4.21(a) 4.21(b) 4.22(c) 

BURNETT, GREG 99-1558-CIV-T-23F MD FL 07/06/99 32.9(a) 

32.9(c) 33.10(a) 33.10(c) 166.3 

 

BURNSIDE, ROBERT 78-1604CSH SD NY 05/06/83 4c(b) 

4d(2) 

32.6(a) 32.9 

BURROW, JAMES L. 80-10 CFTC 11/12/81 4b(A) 

4b(C) 4k(2) 

166.2 1.14(a)(3) 

BURSTEIN, RANDY JAY 04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

BURSZTYN, IAN 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

BURSZTYN, IAN 03 CV 9127 SD NY 11/18/03 EX PARTE STATUTORY 

44
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RESTRAINING ORDER 

BURSZTYN, IAN 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

BUSACCA, SALVATORE 89-3 CFTC 11/10/88 4c(a) 1.38(a) 

BUSCH, ROBERT E. CV-98-N-1755-S N.D. ALA. 8/8/00 ORDER 

BUSH, BAKER HOSKINS SD-82-2 CFTC 03/18/82 

BUSHMAN, BERNARD 78-1069 SD FL 10/26/81 4c(b) 

4o(1) 

32.5(a) 32.8 32.9 30.01(c) 

PERMANENT INJUNCTI

BUTERIN, JOHN J. 80-2019 D KS 07/26/84 4m 

4n(3)(A) 4o 

1.31 4.23 

PERMANENT INJUNCTI

BUTLER, CURTIS 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

BUTLER, THEODORE 88-10 CFTC 05/04/93 4i 

6(b 4g 

18.01(a) 18.04(a) 1.31(a) 1.35(a) 1.35(a-1)(1) 166.2 

BYRD, TINA 98-CIV-1682 SD NY C.O.M. CONSULTANTS D/B/A GOLDEN STATE BULL 

97-4443 CAL 07/23/97 4b(a)(2) PRELIMINARY 

INJUNCTION 

45
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CAAN, GLENN W. 86-21 CFTC 11/10/87 4b(A) 

4b(B) 4n(3)(A) 6(b) 

1.31(a)(2) 

CACERES, RICARDO FALLA 79-34 CFTC 10/26/83 6(b) 

6(c) 9(b) 4c(a) 

CAFÉ NORD CORPORATION 03-23 CFTC 8/18/03 4c(a) 1.38 COMMISSION ORDER 

CAFFERKY, ANDREW E. 3:99-CV-378 ED TN 09/03/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4k(2) 4m(1) 4n(4) 4o(1) 

3.12(a) 1.31 4.21 4.22 4.23 4.24 4.25 4.26 

PERMANENT INJUNCTI

CAHN, ROBERT L. 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

CAL. COMMODITIES FUTURES INT'L 

94-7910 CD CA 08/21/95 4b(a) 

4n(3)(A) 4o(1)(A) 4o(1)(B) 

1.31 4.20(b) 4.20(c) 4.23 4.32 

PERMANENT INJUNCTI

CALCATERRA, SALVATORE 90-1 CFTC 09/25/90 4c(a)(A) 

4g 

1.31(a)(1) 1.35(a) 1.35(a-1)(2) 

CALHOUN, KENT C. individually, SA 99 CA 0684 W.D. TX. 7/27/00 4b(a)(i) 4.16 PERMANENT INJUNCTI

46
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

as an agent of or d/b/a KCI 4o(1) 4.41(a) 

CALI, SAM 92-2 CFTC 08/13/93 4b(A) 

4b(B) 

1.38(a) 

CALIGARIS, DAVID P. 88-1569 D CO 09/28/88 4(a) 

4d(1) 

 PERMANENT INJUNCTI

CALLAHAN, DONALD E. 90-3 CFTC 12/19/89 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

CALO, MICHAEL d/b/a FIRST FINANCIAL TRADING 

00-17 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a 4.41(b) 

COMMISSION ORDER 

CALPINE ENERGY SERVICES, L.P. 

04-11 CFTC 1/28/2004 9(a)(2) COMMISSION ORDER 

CALVARY CURRENCIES LLC a/k/a CALVARY CURRENCY 

8:04-CV-01021-DKC D MD 3/29/2004 COMPLAINT FILED 

CAMBRIDGE GLOBAL GROUP, INC. 

CV 03 1826 PHX D AZ 9/18/03 4b(a) PRELIMINARY 

INJUNCTION 

CAMERON, WILLIAM J. 80-29 CFTC 01/21/87 4b 

4c(a) 

1.38 

CAMPBELL, JAMES S. 88-24 CFTC 11/30/89 4b(A) 

4b(B) 4b(C) 4o(1) 

1.20 

47
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(1) 4d(2) 9(a) 

CAMPBELL, R. DAVID 99-11 CFTC 05/20/99 6(c) 

6(d) 9(a)(2) 

 COMPLAINT FILED 

CAMPBELL, R. DAVID 99-11 CFTC 6/22/2004 COMMISSION ORDER 

CAMUS, LOUIS A. 4-95-CV-35 SD MN 05/14/96 4b(a)(i) 

4o 4m(1) 

4.13(b)(1) 4.20(c) PERMANENT INJUNCTI

CA-NI INDUSTRIES, LTD. 99-C-6425 N.D. IL 12/27/99 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

PRELIMINARY INJUNCTION 

CANION BOEKI COMPANY, LTD. 90-1 CFTC 05/04/90 4c(a)(A) CANTILLANO, EDWIN DE JESUS 94-15 CFTC 01/09/95 4(b)(a)(i) 

4(d)(1) 9(a)(1) 

CANTOR FITZGERALD & CO. 94-14 CFTC 01/28/97 4m(1) 

4o(1)(B) 

CANTOR, MELVIN 76-928 SD NY 03/03/76 4c(b) 30.01 PERMANENT INJUNCTI

CANTOW, CLAIRE 77-4 CFTC 07/19/77 4c(b) 32.9 

CAO, DOROTHY 94-1162-A ED VA 05/26/95 4(a) 

4d(1) 4b(a) 9(a)(1) 

PERMANENT INJUNCTI

CAPITAL CITY CURRENCIES CORPORATION 

79-2087 D DC 10/29/79 4m 

4n(3)(A) 4o(1) 

4.21 4.23 

PERMANENT INJUNCTI

48
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CAPITAL CREDIT MANAGEMENT & FINANCE, INC. 

00-6885 S.D. FL. 3/28/01 FINAL JUDGEMENT 

CAPITAL INSIGHT BROKERAGE, INC. 

99-11543 WMB C.D. CAL. 11/12/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4g 4m(1) 4o(1) 

33.10(a) 33.10(b) 33.10(c) 1.35(a-1)(1) 

PERMANENT INJUNCTI

CAPITAL INSIGHT BROKERAGE, INC. 

SD-00-01 CFTC 2/16/00 8a(2)(C) COMMISSION ORDER 

CAPITAL RECOVERY SYSTEMS INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

CAPITAL STRATEGIES, INC. 99-C-2357 ND IL 04/12/99 STATUTORY 

RESTRAINING ORDER. 

CAPRA, DOUGLAS R. 88-9 CFTC 02/11/88 4g 1.35(a-1)(2) 

CAPUANO, JOHN 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

CARADIMITROPOULO, CONSTANTIN M. 

81-2250-W WD TN 01/30/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

CARDIN, JACKSON 86-36 CFTC 03/27/87 4b(A) 1.56(c) 

30.02 166.3 

CARELLA, BERNARD D. 80-0689 SD NY 03/02/81 4 

4h 4b 

PERMANENT INJUNCTI

49
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CARGILL, INC. 99-16 CFTC 08/26/99 4c(b) 32.2 COMPLAINT FILED 

CARLES, ALEXIS 97-CIV-1360 ND CAL. 11/21/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4k(2) 

PERMANENT INJUNCTI

CARLSON, HARVEY S. 83-45 CFTC 06/13/83 4e 

CARMEL INTERNATIONAL BUSINESS ASSOCIATION 

93-8242 SD FL 01/13/94 4b 

9(a) 4d 

PERMANENT INJUNCTI

CARNAGEY, THOMAS V. 82-449E ND OK 11/04/83 4m 

4o(1) 

4.13(b) 4.41(a) 4.41(b) 

PERMANENT INJUNCTI

CARNEGIE TRADING GROUP, LTD. (THE) 

1:04CV1403 ND OH 7/22/2004 COMPLAINT FILED 

CARPENTER, MICHAEL R. 86-18 CFTC 02/19/87 4(a) 

CARR FUTURES, INC. 03-10 CFTC 4/22/03 4g 1.31 

1.35 

COMMISSION ORDER 

CARR, JAMES A. 77-371T D MA 01/23/78 RESTRAINING ORDER 

50
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CARR, JAMES A. 77-550 WD MI 06/14/83 4c(b) 32.9 

32.5(a) 32.5(c) 32.5(d) 

PERMANENT INJUNCTI

CARR, JAMES A. 77-6 CFTC 07/26/79 4c(b) 32.3 

1.18 1.31 32.7 

CARR, LAWRENCE C. 80-478 D MN 12/02/81 4g(1) 

4f(2) 6(b) 

1.31 1.17 1.17(a)(3) 

PERMANENT INJUNCTI

CARRETTA, ROBERT F. 78-56 CFTC 02/23/81 6(b) CARRINGTON FINANCIAL CORP. 

92-6832 SD FL 09/29/97 4b(a)(i) 

4b(a)(iii) 4c(b) 

33.7(f) 33.10 166.3 

PERMANENT INJUNCTI

CARTER, JOHN W. 79-13 CFTC 06/26/81 4c(b) 32.9 

32.8(a) 32.3(b)(2) 

CARTER, JOHN WILLIAM 80-315 SD FL 10/07/81 4o(1) PERMANENT INJUNCTI

CARTER, KENNETH L. 93-2 CFTC 3/24/04 COMMISSION ORDER CARTER, NEVILLE 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

CARTER, ROGERS AND WHITEHEAD & COMPANY INC. 

79-1580 ED NY 07/13/81 4c(b) 

4c(c) 4d(2) 4f(2) 

32.11 1.17(a) 1.20(a) 

PERMANENT INJUNCTI

CARUSILLO, MICHAEL J. 88-6 CFTC 02/13/90 4c(a)(B) 1.38(a) CARVER, RICHARD L. 79-1085 ND TX 03/19/84 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

CARVER, RICHARD L. 84-38 CFTC 05/14/84 4c(b) 

4c(c) 

32.11 

CASAS SENDAS COMERCIO E INDUSTRIA S.A. 

03-23 CFTC 8/18/03 4c(a) 1.38 COMMISSION ORDER 

CASEY, PETER WINN 90-24 CFTC 04/30/91 4k(2) 

4k(3) 

51
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CASSANOS, JAMES 85-3059 SD FL 06/26/86 4(a) PERMANENT INJUNCTI

CASSELMAN, WILLIAM 78-8293 SD FL 06/05/79 4b 

4o(1) 4d(2) 4f 4g 

1.17 1.18(a) 1.18(b) 1.18(c) 1.23 1.32 

PERMANENT INJUNCTI

CASSELMAN, WILLIAM 79-48 CFTC 05/25/79 4b 

4d 4f 4g 4o 

1.17 1.18(a) 1.23 1.32 1.18(b) 1.18(c) 

CASTALDO, MARIE CROCE 81-24 CFTC 08/07/81 4a(2)(B) 

4i 6(b) 

150.10 18.04 

CASTELLANO, ANTHONY SD-88-1 CFTC 05/29/90 CASTELLANO, ANTHONY SD-94-11 CFTC 12/10/96 CASTLE, JOHN K. 77-3864 CD CA 06/26/80 4c(b) PERMANENT INJUNCTICASTLE, JOHN K. 79-7 CFTC 06/11/80 4c(b) 32.5 

32.9 

CATALANO, GERALD 83-2 CFTC 02/10/84 1.16(b)(2) 

1.10 1.16 1.16(d)(1) 1.17(c)(2) 1.17(c)(5) 1.16(e)(2) 

CATALFO, ANTHONY P. 94-10 CFTC 09/26/94 6(c) 

6(d) 9(a)(2) 

33.9(d) 

CATIZONE, RICHARD M. 82-18 CFTC 03/23/83 CAYMAN ASSOCIATES, LTD. 79-16 CFTC 04/21/86 4f 

4b(A) 4g 4d(1) 4d(2) 4b(B) 

1.10(b) 1.18(a) 1.10(d) 1.20(a) 1.10(f) 1.35 

52
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(C) 4b(D) 4h(2) 4k 4 

1.17(a) 1.7 1.38 1.23 1.32 

CCFI, INC. SD-96-2 CFTC 03/01/96 8a(2)(C) 

8a(2)(H) 8a(2)(E) 

CDM TECHNOLOGIES, LLC 6:03CV42 ED TX 6/9/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1) 1.1(b)(3) 

PERMANENT INJUNCTI

CECALA, JOSEPH J., JR. 04-2181 WD TN 9/13/2004 COMPLAINT FILED CEF & CO., INC. 91-7 CFTC 06/25/92 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 4g 

1.31 1.35 1.38(a) 

CENTENNIAL MARKETING COMPANY 

79-3558 SD FL 03/01/82 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

CENTENNIAL MARKETING COMPANY 

82-17 CFTC 03/25/82 4c(b) 

4c(c) 

32.9 32.11 

CENTER MARKETING, INC. 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

CENTURION FINANCIAL GROUP, LLC 

02-61160 SD FL 8/20/02 4(a) 

4b(a) 4c(b) 

1.1(b) 3.12(a) 32.9 32.11 33.3 

COMPLAINT FILED 

CERCONE, LOUIS 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

CERCONE, LOUIS F. 79-43 CFTC 06/10/80 4k 

CHAMBERLAIN, MARK W. SD-88-6 CFTC 12/17/90 

53
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CHAN, ANTHONY 93-3494-C ND CA 05/26/94 4(a) PERMANENT INJUNCTI

CHAN, BENNY 94-0220-C ND CA 07/28/94 4(a) PERMANENT INJUNCTI

CHAN, FLORENTIUS, DR. 01-06926 CD CAL 7/1/03 4b(a)(i)-(iii) 

4(a) 

PERMANENT INJUNCTI

CHAN, KING KEUNG 98-1 CFTC 05/24/99 4(a) 

4b(a)(iv) 4b(a)(i) 

CHAN, RONALD 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

CHAN, RONALD 92-9 CFTC 12/09/91 4(a) CHAN, SANDY H. 01-06926 CD CAL 7/1/03 4b(a)(i)-(iii) 

4(a) 

PERMANENT INJUNCTI

CHANDLER, HENRY 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 4c(b) 

1.38 33.10(a) 33.10(b) 33.10(c) 

COMMISSION ORDER 

CHAPMAN, CHRISTOPHER 03-08 CFTC 3/25/03 4b(a)(2)(C)(i 

)-(iii) 

COMMISSION ORDER 

54
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CHARIOT CONSULTING, INC. 03 4999 ED NY 11/24/03 PRELIMINARY 

INJUNCTION 

CHARLES-SCOTT AND COMPANY 

81-18 CFTC 09/17/82 8a(3) 

CHARLETON, JOSEPHINE 78-48 CFTC 12/15/80 4g(1) 

4d(2) 4f(1) 4g 

1.37 1.20(a) 1.21 1.22 1.10 

CHARRIER, MICHAEL 83-19 CFTC 02/10/84 4b(A) 

4n(1) 4n(3)(A) 4n(4) 4o(1) 

1.10(c) 1.10(d) 1.14 4.21(a) 4.22(c) 4.23(a) 

CHARTERED SYSTEMS CORPORATION OF NEW YORK 

79-26 CFTC 01/06/82 4c(b) 

4f(1) 4g(1) 

32.5 32.9 1.10(b) 

CHARTERED SYSTEMS CORPORATION OF NEW YORK 

79-53 CFTC 07/17/79 

CHASE COMMODITIES CORP. CV04-6463 CD CAL 8/25/2004 PRELIMINARY 

INJUNCTION 

CHEN, WILLIAM W. 94-1162-A ED VA 05/26/95 4(a) 

4d(1) 4b(a) 9(a)(1) 

PERMANENT INJUNCTI

CHENG, NAN PING 95-5416 SD NY 02/19/98 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

55
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CHERVIN, WARREN J. 83-30 CFTC 08/04/83 4e CHESROW, EUGENE J., JR. 96-4 CFTC 4/29/03 4b(a)(i) & 

(iv) 4g(a) 4c(a)(A) 

1.35(d) 1.38(a) 

COMMISSION ORDER 

CHEUNG, CURTIS K. 93-5598 SD NY 09/05/95 4b(a)(i) 

4o(1)(A) 4o(1)(B) 9(a) 4d(1) 4c(b) 

33.7 33.10 3.4 

PERMANENT INJUNCTI

CHEUNG, JASON 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

CHEUNG, JASON 92-9 CFTC 12/09/91 4(a) CHIAPPONE, KATHLEEN 97-8 CFTC 9/24/03 4g 1.31(a) 

1.35(a) 1.35(a-1)(1) 

COMMISSION ORDER 

CHICAGO COMMODITY CORPORATION 

89-23 CFTC 04/23/92 4c(b) 33.7(f) 

33.10 166.3 

CHICAGO DISCOUNT COMMODITY BROKERS, INC. 

80-5755 ND IL 05/01/86 4d(2) 1.20 PERMANENT INJUNCTI

CHICAGO DISCOUNT COMMODITY BROKERS, INC. 

83-3 CFTC 04/29/86 4b(A) 

4d(2) 

1.22 

CHICAGO DISCOUNT COMMODITY BROKERS, INC. 

83-4 CFTC 09/29/86 4b(A) 

4d 4g 9(a) 

1.20(a) 1.31 1.32 1.35 

CHICAGO GRAIN AND FINANCIAL FUTURES CO. 

83-46 CFTC 02/15/84 4g(1) 

1.12(f)(2) 

56
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CHICAGO MERCANITLE EXCHANGE 

87-6 CFTC 06/07/90 5a(8) 

5a(9) 

1.12(e) 1.51 1.52 

CHILCOTT COMMODITITIES CORPORATION 

81-999 D CO 07/10/81 4b(B) 

4b(C) 4o(1) 

4.21 4.22 4.21(a) 

PERMANENT INJUNCTI

CHILCOTT PORTFOLIO MANAGEMENT, INC. 

81-999 D CO 07/10/81 4b(B) 

4b(C) 4o(1) 

4.21 4.22 4.21(a) 

PERMANENT INJUNCTI

CHILCOTT, THOMAS D. 81-999 D CO 07/10/81 4b(B) 

4b(C) 4o(1) 

4.21 4.22 4.21(a) 

PERMANENT INJUNCTI

CHILCOTT, THOMAS D. d/b/a TRADE MASTER OF SOUTHWEST FLORIDA 

2:02-CV-94 MD FL 12/16/03 SUPPLEMENTAL 

CONSENT ORDER 

CHILMARK COMMODITIES CORPORATION 

88-25 CFTC 09/20/88 4c(b) 33.7(d) 

33.7(e) 33.7(f) 33.10 166.2 166.3 

CHILMARK COMMODITIES CORPORATION 

88-6058 SD FL 09/15/88 4c(b) 33.7(f) 

33.10 166.2 33.7(d) 166.3 

PERMANENT INJUNCTI

CHINODA, MOKHTAR ATTALA 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

57
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CHIRICOTTI, PHILLIP G. 92-14 CFTC 02/21/92 4b(A) 

4c(b) 

33.10(a) 166.2 

CHITWOOD, RAYMOND MARSHALL JR. 

87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

CHLORIS LIMITED PARTNERSHIP 

98-CIV-1682 SD NY 

CHOW, YUK WAH 85-16 CFTC 06/25/87 4i 15.01(c) 

18.04 

CHRIST, MICHAEL J. 93-15 CFTC 12/14/93 4c(a)(A) 1.38(a) 

CHRISTIAN, JACK L. JR. 86-4792WDK CD CA 01/16/87 4b(A) 

4b(C) 

PERMANENT INJUNCTI

CHRISTIE, SHAWN 1:01-cv-1107 ND GA 6/24/03 4c(b) 32.9 

32.5 32.11 33.3(a) 32.8(c) 

SUMMARY JUDGMENT 

CHU, DAVID W.T. 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

CHU, DAVID W.T. 92-9 CFTC 12/09/91 4(a) 

CHULIK, MARK E. 99-02412 CAL 03/22/99 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20 4.21 4.22 

PRELIMINARY INJUNCTION 

CHULIK, MARK E. SD-00-02 CFTC 2/17/00 8a(2)(C) 

8a(2)(E) 

COMMISSION ORDER 

CHULIK, MARK E. d/b/a CV99-02412 C.D. CAL. 2/15/00 4b(a)(i) 4.20(a) PERMANENT INJUNCTI

58
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WESTGATE PARTNERS d/b/a MEC MANAGEMENT d/b/a MEC CAPITAL MANAGEMENT 

4b(a)(ii) 4m 4o(1) 

4.20(b) 4.20(c) 4.21(a) 4.21(b) 4.22 

CHURCHILL, PAUL 91-1480 SD FL 12/03/92 4m 

4b 4o 

4.41 4.31 

PERMANENT INJUNCTI

CITADEL TRADING COMPANY OF CHICAGO, LTD. 

77-8 CFTC 08/31/81 4b 

4c 4d 4f 4g 4k 

CITADEL TRADING COMPANY OF ST. LOUIS, LTD. 

77-8 CFTC 08/31/81 4b 

4c 4d 4f 4g 4k 

CITADEL TRADING COMPANY, LTD. (THE) 

77-0929-CB ED MO 09/12/77 4d 

4f 4g 

1.31 1.35 1.34 1.18 1.20 1.26 

PERMANENT INJUNCTI

CITY COMMODITIES, INC. 75-4-603 D MN 01/09/76 4d(2) 

4f(2) 4g 4b(A) 4b(B) 4b(C) 

1.17(a) 1.20(a) 1.22 1.32 1.35(a) 1.35(b) 

PERMANENT INJUNCTI

CITY TRUST AND INVESTMENT CO., INC. 

CV03-8339 CD CAL 5/10/2004 COMPLAINT FILED 

CLAIRMONT CAPITAL CORP. 99-S-1874 D COL 5/1/03 ORDER CLANCY, JAMES KENDALL 78-3 CFTC 11/25/80 4b 

CLANCY, MICHAEL 90-15 CFTC 01/22/92 4g 1.31(a)(1) 

1.35(a) 

59
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CLANCY, PAUL H. 80-6563 SD FL 02/09/81 4d(2) 

4f(2) 

1.20(a) 1.17(a) 

PERMANENT INJUNCTI

CLANCY, PAUL H. 87-14 CFTC 03/11/92 4c(b) 

4k(1) 6(b) 

33.10 

CLANCY, THOMAS J. 04-80132 SD FL 2/10/2004 4c(b) 32.9(a) & (c) STATUTORY 

RESTRAINING ORDER 

CLARK, DOUGLAS M. 86-1479G ND TX 06/16/86 4c(c) 

4c(b) 

PERMANENT INJUNCTI

CLARK, MICHAEL J. SD-93-2 CFTC 04/22/97 CLAYTON BROKERAGE CO. OF ST. LOUIS, INC. 

85-21 CFTC 09/18/85 4k 

CLAYTON BROKERAGE COMPANY OF ST. LOUIS INC. 

80-19 CFTC 08/26/80 4b(A) 

4d(2) 4g 9(b) 6(b) 6(c) 13(a) 

1.20(a) 1.23 1.37 17.01 166.3 

CLEARVIEW CAPITAL MANAGEMENT, INC. 

04 CV 45 (FSH) D NJ 1/8/2004 COMPLAINT FILED 

CLEARY TRADING COMPANY, INC. 

79-8 CFTC 06/25/81 

CLEARY, JOHN THOMAS 81-8 CFTC 12/01/81 CLINE, RUSSELL B. CV 03 603 D OR 5/8/03 STATUTORY 

RESTRAINING ORDER 

CLOCKWORK TRADING CORP. SD-95-22 CFTC 05/07/97 CLOTHIER, DANIEL 93-27 CFTC 01/31/94 4b(a)(i) 

4b(a)(ii) 4c(b) 4g(a) 4m 4n(3)(A) 4n(4) 4o(1) 9(a)(1) 

1.31 1.35(a) 4.20(c) 4.22 4.23 33.10 

CLOTHIER, DANIEL G. 92-1062-T D KS 02/11/94 4b(a)(i) 

4b(a)(ii) 4c(b) 

4.20(c) 1.31 1.35(a) 

PERMANENT INJUNCTI

60
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 9(a)(1) 4g(a) 4n(3)(A) 4m 4n(4) 

4.23 4.22 

CMB CAPITAL MANAGEMENT CORP. 

98-10 CFTC COMPLAINT FILED 

CMS FIELD SERVICES, INC. 04-05 CFTC 11/25/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

CMS MARKETING SERVICES AND TRADING COMPANY 

04-05 CFTC 11/25/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

CO PETRO MARKETING GROUP INC. 

80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

COCHRAN, PAUL 02-01 CFTC 9/19/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

COMMISSION ORDER 

COCOA MERCHANTS, LTD. 89-11 CFTC 07/31/89 4(a) 

4b(A) 4b(B) 4b(C) 4b(D) 4c(a)(A) 4h 4h(2) 

COEN, M. J. 78-37 CFTC 07/13/79 6(b) 

COFFEY, MICHAEL A. 86-6 CFTC 08/30/89 4b 166.3 

61
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COHEN, RICHARD A. 01-09 CFTC 8/28/02 4c(b) 33.10 

166.3 

COMMISSION ORDER 

COHEN, SEYMOUR E. 78-2 CFTC 07/03/79 4c(b) 32.3 

COHN AND COMPANIES, LTD. 79-295 D CT 06/15/81 4c(b) 

4c(c) 4f 

32.11 32.9 32.6 32.3 1.17 

PERMANENT INJUNCTI

COHN AND COMPANIES, LTD. 81-16 CFTC 05/05/81 4c(b) 

4c(c) 4f 

32.11 1.17 

COHN COMMODITIES, INC. 78-31 CFTC 05/25/79 4c(b) 

4b(A) 

32.3 32.5(a) 32.5(c) 32.6 32.7 32.8(a) 32.9 

COHN COMMODITIES, INC. 78-55 CFTC 05/25/79 4c(b) 

4b(A) 

32.3 32.5(a) 32.5(c) 32.6 32.7 32.8(a) 32.9 

COHN PRECIOUS METALS INCORPORATED 

81-16 CFTC 05/05/81 4c(b) 

4c(c) 4f 

32.11 1.17 

COHN PRECIOUS METALS, INC. 79-295 D CT 06/15/81 4c(b) 

4c(c) 4f 

32.11 32.9 32.6 32.3 1.17 

PERMANENT INJUNCTI

COHN, STUART 78-55 CFTC 05/25/79 4c(b) 

4b(A) 

32.3 32.5(a) 32.5(c) 32.6 

62
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.7 32.8(a) 32.9 

COHN, STUART 79-295 D CT 06/15/81 4c(b) 

4c(c) 4f 

32.11 32.9 32.6 32.3 1.17 

PERMANENT INJUNCTI

COHN, STUART 81-16 CFTC 05/05/81 4c(b) 

4c(c) 4f 

32.11 1.17 

COIN BANK 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

COIN FINANCIAL 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

COLE, WALTER S. 6:03CV42 ED TX 1/30/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1) 1.1(b)(3) 

COMPLAINT FILED 

COLE, WALTER S. 6:03CV42 ED TX 6/4/2004 SUMMARY JUDGMENT COLEMAN, ELLERY d/b/a GRANITE INVESTMENTS 

00-16 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) COMMISSION ORDER 

COLEMAN, ELLERY d/b/a GRANITE INVESTMENTS 

5:01CV0362-8 MD GA 4/23/02 4o 4.16 

4.41(a) 4.41(b) 

PERMANENT INJUNCTI

COLICCHIA, PETER D. SD-95-24 CFTC 08/14/96 

63
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COLLINS COMMODITIES 90-23 CFTC 09/11/90 4c(a)(A) COLLINS COMMODITY BROKERAGE CO. 

93-27 CFTC 01/31/94 4b(a)(i) 

4g(a) 4n(3)(A) 9(a)(1) 

1.31 1.35(a) 4.20(c) 4.23 

COLLINS COMMODITY BROKERAGE COMPANY 

92-1062-T D KS 02/11/94 4b(a)(i) 

9(a)(1) 4g(a) 4n(3)(A) 

4.20(c) 1.31 1.35(a) 4.23 

PERMANENT INJUNCTIO

COLLINS, ANTHONY H. 82-44 CFTC 01/23/86 4k 1.10(b) 

COLLINS, DANIEL 94-13 CFTC 7/15/2004 4c(a)(1) 1.38(a) COMMISSION ORDER 

COLLINS, EDWARD 94-13 CFTC 7/15/2004 4c(a)(1) 1.38(a) COMMISSION ORDER 

COLLINS, EDWARD M. 94-C-4375 ND IL 02/06/97 4b(a)(i) 

4b(a)(ii) 4d(1) 4k(1) 4m(1) 4o(1) 

 PERMANENT INJUNCTI

COLLINS, HAROLD 77-15 CFTC 01/10/84 4a 

6(b) 6(c) 9(b) 

150.10 

COLLINS, JOHN P. 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

COLLINS, THOMAS W. 94-C-4375 ND IL 07/19/94 4b(a)(i) 

4b(a)(ii) 4d(1) 

 COMPLAINT FILED 

64
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k(1) 4k(2) 4m(1) 4o(1) 

COLMAN, LAWRENCE 00-6885 S.D. FL. 3/28/01 FINAL JUDGEMENT 

COLORADO COMPUTER SERVICE 

84-48 CFTC 01/02/85 4m 

4o 

4.21 4.22 4.23 

COLORADO INDUSTRIAL BANK CORPORATION 

84-48 CFTC 01/02/85 4m 

4o 

4.21 4.22 4.23 

COLTON, MICHAEL 98-2575-CIV-T-26C MD FL 04/05/99 COMARK COMMODITIES 82-11 CFTC 05/05/82 4d(2) 

4f(2) 4g 

1.10(d)(1) 1.12(a) 1.17(a)(1) 1.18(b) 1.20(a) 1.23 1.31(a) 1.32 1.36(a) 

COMENZO, THOMAS A. SD-86-4 CFTC 11/04/86 8a(3)(J) 

8a(3)(M) 

COMEX CLARING 85-25 CFTC 11/24/87 4d(2) 1.20(a) 

65
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ASSOCIATION, INC. 5a(8) 

5a(9) 

1.20(c) 1.22 

COMMERCIAL HEDGE SERVICES, INC. d/b/a PRIME TRADING COMPANY 

4:04CV3184 D NE 5/4/2004 4b(a)(2)(i) & 

(iii) 4o 4c(b) 

33.10 166.2 

PRELIMINARY INJUNCTION 

COMMERCIAL PETROLERA INTERNATIONAL, S.A. 

80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

COMMODITIES AMERICA CORPORATION 

80-478 D MN 12/02/81 4g(1) 

4f(2) 6(b) 

1.31 1.17 1.17(a)(3) 

PERMANENT INJUNCTI

COMMODITIES CORPORATION 85-51 CFTC 09/30/85 4a(2)(B) 

4i 

18.00 150.4 150.11 150.12 

COMMODITIES INTERNATIONAL CORPORATION 

83-43 CFTC 01/14/97 4b 

4o 4n(1) 

4.21 3.31(a) 

COMMODITIES INTERNATIONAL HOLDING CORP. 

83-43 CFTC 01/14/97 

COMMODITY CONCEPTS MANAGED COMMODITY FUNDS 

82-1931 ND OH 07/22/83 4b 

4m 4n(1) 4n(3)(B) 4o(1) 

4.20 4.21 4.22 

PERMANENT INJUNCTI

COMMODITY CONSULTANT INTERNATIONAL, INC. 

02-40041 ED MI 3/10/03 4b(a)(i)-(iii) 

4g(a) 

1.31 1.35 4.14(a)(9) 

PERMANENT INJUNCTI

COMMODITY CONSULTANTS INTERNATIONAL, INC. 

SD 03-07 CFTC 1/13/2004 ALJ INITIAL DECISION 

COMMODITY EXCHANGE INCORPORATED 

79-24 CFTC 01/19/79 5a(1) 

5a(12) 

COMMODITY EXCHANGE, INC. 85-25 CFTC 11/24/87 5a(8) 

5a(9) 

1.52 1.53 

COMMODITY EXCHANGE, INC. 85-7 CFTC 11/19/84 5a(8) 1.51 

66
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

(THE) 1.53 

8.07 

COMMODITY EXPORTERS, INC. 79-36 CFTC 08/24/81 4a(2)(B) 

6(b) 

150.10(a) 18.00 18.01 18.03 19.00 19.04 19.10 

COMMODITY FLUCTUATION SYSTEMS, INC. 

83-5909WK SD NY 05/18/84 4b(A) 

4o(1) 

4.41(a) PERMANENT INJUNCTI

COMMODITY INVESTMENT COUNSELORS 

80-23 CFTC 12/02/81 4n(4) 

4o(1) 4o(2) 

4.21 4.22 

COMMODITY MANAGEMENT CORPORATION OF MICH. 

86-1 CFTC 12/03/85 4o(1) 4.21(d) 

COMMODITY MANAGEMENT PLUS, INC. 

90-00038 ND IN 08/17/90 4o(1) 

4k(3) 

PERMANENT INJUNCTIO

COMMODITY MANAGEMENT SERVICES, INC. 

82-16 CFTC 03/25/82 4 

4h 4c(b) 4c(c) 4m 

32.11 166.3 

COMMODITY MANAGEMENT SERVICES, INC. 

82-6203 SD FL 04/15/82 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

COMMODITY OPTION SPECIALIST, INC. 

89-23 CFTC 04/23/92 4c(b) 33.7(f) 

33.10 166.3 

COMMODITY OPTIONS LIMITED 78-19 CFTC 12/10/81 4b 

4c(b) 4d 4m 

1.7 32.3 32.5 32.9 

COMMODITY REFERRAL SERVICE, INC. 

97-1492 SD FL 

COMMODITY RESOURCES, INC. 81-2431 SD NY 10/14/81 4d(2) 

4f(2) 

1.20(a) 1.22 1.17(a) 

PERMANENT INJUNCTIO

COMMODITY SERVICES, INC. 80-15 CFTC 10/15/80 4b 1.10(a) 

67
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o 4k 4f(1) 

1.14(a) 1.14(d) 

COMMODITY SPECIALIST CORPORATION 

82-14 CFTC 02/18/83 

COMMODITY TIMING SPECIALISTS 

00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 

PRELIMINARY 

INJUNCTION 

COMMONWEALTH FINANCIAL GROUP, INC. 

92-6692 SD FL 02/21/96 

COMMONWEALTH TRUST LIMITED 

03 CV 7112 SD NY 9/12/03 4b(a)(2)(I) & 

(iii) 4(a) 

1.1(B)(1) & (3) COMPLAINT FILED 

COMP TECH LTD., INC. 99-8750-CV S.D. FL 10/29/99 REVISED EX PARTE SR

COMPANIA SALVADORENA DE CAFÉ, S.A. 

79-34 CFTC 04/02/81 4c(a) 

9(b) 6(b) 6(c) 

COMPUSOFT, INC. 84-6717 SD FL 12/04/84 4(a) PERMANENT INJUNCTI

COMPUTER WAREHOUSE INC. 96-08202 SD FL 06/25/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1)(A) 4o(1)(B) 4d(1) 4d(2) 4m(1) 4k(1) 4k(2) 9(a) 4n 

1.20(a) 4.20(c) 3.12(a) 4.21 4.24 4.26 4.22 4.23 4.25 

PERMANENT INJUNCTIO

COMPUTREND, LTD. 78-42 CFTC 07/24/79 

COMPUTREND, LTD. 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

COM-TECH SYSTEMS LTD. 88-12 CFTC 03/11/88 4b(A) 4.21(a) 

68
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 4m(1) 

COM-TRAD SYSTEMS, INC. 84-6495-JE SD FL 07/01/85 4n(3)(A) 1.31 

4.23 4.32 

PERMANENT INJUNCTI

COMVEST TRADING CORPORATION 

79-1071 D MA 06/15/79 4d(2) 

4f(2) 4g(1) 

1.17a(1) 1.18 1.20(a) 1.31(a) 1.32 1.34 1.35 

PERMANENT INJUNCTI

COMVEST, INC. 79-1071 d ma 06/15/79 4d(2) 

4f(2) 4g(1) 

1.17a(1) 1.18 1.20(a) 1.31(a) 1.32 1.34 1.35 

PERMANENT INJUNCTI

CONCEPT II INC. 87-3276(JWB) D NJ 08/11/87 4b(A) 

4b(B) 4b(C) 4d(1) 4d(2) 4m 4o(1) 

1.20 3.4 4.20(c) 

PERMANENT INJUNCTI

CONCORDE TRADING GROUP 93-1567 SD FL 07-19-96 4c(b) 33.7(f) 

33.10 166.3 

PERMANENT INJUNCTI

CONLIN, THOMAS G. 83-26 CFTC 05-11-84 4e 

4g(1) 

1.31 1.35(a) 

CONNALLY, JOHN M. 88-3 CFTC 11/17/87 1.56(c) 

CONNELLY, JAMES L. SD-99-7 CFTC 07/29/99 8a(3) 

8a(4) 

69
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CONNETTO HOLDING COMPANY, LTD. 

03 CV 1796 ND NY 3/14/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

CONNOLLY, DAVID C. 86-6 CFTC 03/10/92 4b(A) 166.3 

CONNORS & DAVENPORT, LTD. 79-828 D AZ 05/18/81 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

CONSULTANT PUBLICATIONS, INC. 

76-7 CFTC 10/31/75 6(b) 

6(c) 9(b) 13(a) 4b 4f(2) 4(g) 

1.16 1.17 1.18 1.33 

CONTICOMMODITY SERVICES, INC. 

85-12 CFTC 09/30/86 1.35(a-1) 

1.46 1.56 17.00 30.02 166.3 1.25 1.22 1.20 1.12 

CONTICOMMODITY SERVICES, INC. 

86-36 CFTC 09/30/86 

CONTINENTAL PRECIOUS METALS, INC. 

79-1406 SD FL 12/13/85 4c(b) 

4c(c) 

32.11 32.9 32.3 

PERMANENT INJUNCTI

CONTRINO, CARMELO 02-13 CFTC 7/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 1.35(d) 

COMPLAINT FILED 

COOPERS & LYBRAND 93-18 CFTC 05/24/93 1.16(d) 

1.16(e) 

COOPERS & LYBRAND 93-19 CFTC 05/24/93 1.16(d) COPPOLA, VINCENT 01-06 CFTC 1/10/01 4c(a)(A) 

4c(a)(B) 4c(b) 4g(a) 

1.35(d) 1.38 33.10 

COMPLAINT FILED 

70
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CORAL ENERGY RESOURCES, L.P. 

04-21 CFTC 7/28/2004 9(a)(2) COMMISSION ORDER 

CORDERO, JOSEPH M. 79-1233 MD FL 10/11/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

CORDO, WILLIAM SCOTT 01-10 CFTC 5/24/2004 4c(b) 33.10 

166.3 

COMMISSION ORDER 

COREA, DAVID S. 83-25 CFTC 05/11/84 4e 

4g(1) 

1.31 1.35(a) 

CORINGRATO, AL 99-1558-CIV-T-23F MD FL 07/06/99 4c(b) 32.9(a) 

32.9(c) 33.10(a) 33.10(c) 166.3 

COMPLAINT FILED 

CORNAZ, PATRICE 3:04CV169-S WD KY 12/1/2004 4(a) 

4b(a)(2)(iv) 

PERMANENT INJUNCTI

CORNISH, RONALD J. 78-2102A ND GA 12/18/78 4d(2) 

4f(2) 4g(2) 

1.17(a) 1.18(b) 1.18(c) 1.20(a) 1.23 1.32 

PERMANENT INJUNCTI

COTE, LARRY 83-4 CFTC 08/29/85 4b(A) 

4d(2) 

1.20(a) 166.3 

COUGAR COMMODITIES INC. 85-6451 SD FL 09/20/85 4m 

4o(1) 

PRELIMINARY 

INJUNCTION 

COUGAR COMMODITIES, INC. 84-6495-JE SD FL 07/01/85 4n(3)(A) 1.31 

4.23 4.32 

PERMANENT INJUNCTI

COUNTRY HEDGING, INC. 97-10 CFTC 06/24/97 4c(a)(A) 

71
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COX, EDWARD ANTHONY III 91-14 CFTC 03/04/98 

COX, STEPHEN C. 03-04 CFTC 12/24/02 4o(1)(A) 4.41(a)(1) 

4.41(b)(1) 

COMMISSION ORDER 

CRACRAFT, PERRY J. 77-10 CFTC 11/13/86 

CRAIG, CHARLES 78-55 CFTC 05/25/79 CRAIG, JAMES P. 77-16 CFTC 08/19/77 6(c) 

CRAIG, JAMES P. 79-0609-H ND TX 10/18/81 4c(b) 

4c(c) 

 PERMANENT INJUNCTI

CRAIG, JAMES P. 82-26 CFTC 06/09/83 4c(b) 

4c(c) 

32.9 32.11 

CRAWFORD, JAMES R. 97C7061 ND IL 1/30/01 

CREDIT LYONNAIS ROUSE LIMITED 

04-25 CFTC 9/29/2004 4c(a) 1.38(a) COMMISSION ORDER 

CRILLY, RICHARD J. 86-30 CFTC 08/19/86 4b 

4d(2) 

1.17(a) 1.18(a) 

72
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4f(2) 4g(1) 6(b) 

1.18(b) 1.20(a) 1.20(c) 1.22 1.23 1.31(a)(1) 1.32 1.35(a) 166.3 1.25 1.22 1.20 1.12 

CROMEX INC. 84-1463 SD CA 09/03/85 4m 

19 

31.1 31.24 

PERMANENT INJUNCTI

CROMWELL INTERNATIONAL PRECIOUS METALS INC. 

85-3059 SD FL 06/26/86 4(a) PERMANENT INJUNCTI

CRONOVER, CHARLES ARTHUR III 

81-CA12 WD TX 02/22/89 4c(b) 

4c(c) 4m 

32.9 PERMANENT INJUNCTI

CROTHERS, WILLIAM R. 87-19 CFTC 08/31/94 CROUCH, THOMAS A. 93-10 CFTC 07/06/94 4b(a)(i) 1.38(a) 

CROWDER, BRYANT a/k/a BRIAN CROWDER a/k/a BRIAN MCCROWDER 

01-7402 SD FL 8/24/2004 DEFAULT ORDER 

CROWLEY, JAMES TRENT 79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

CROWLEY, THOMAS D. 78-2240 WD TN 12/02/80 

CROWLEY, THOMAS D. 79-2778 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

CROWN COLONY COMMODITY OPTIONS, LTD. 

77-2678EW SD NY 05/19/78 4c(b) 

4k 

30.01 32.3 

PERMANENT INJUNCTI

73
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 32.8 

CROWN COLONY COMMODITY OPTIONS, LTD. 

79-1 CFTC 09/27/79 4c(b) 

4o(1) 

32.9 

CROWN, BRUCE N. 04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

CRUTTENDEN, JAMES 84-3920KH CD CA 06/18/84 4d(2) 

4f(2) 4g(1) 

1.35(a) 1.18(b) 1.23 1.31 1.32 1.20(a) 1.17(a) 1.18(a) 

PERMANENT INJUNCTI

CSA, INC. 84-1 CFTC 02/13/85 4m 

4n(3)(A) 4o(1) 

4.21(b) 4.21(c) 4.22(a) 4.22(c) 4.22(d) 4.22(e) 4.22(h) 

CTA, LTD. 91-23591J D SC 08/12/92 4m 

4o 4b 4c(b) 4n(3)(A) 9(a) 

4.13 4.41 33.10 4.20 4.21 

PERMANENT INJUNCTI

CTS FINANCIAL PUBLISHING, INC. formerly COMMODITY TREND SERVICE, INC. 

00-34 CFTC 9/28/00 4b(a)(i) 

4b(a)(iii) 4c(b) 4o(1) 

4.41(a) 4.41(b) 33.10 

COMPLAINT FILED 

CTU, INC. a/k/a COOPER, THOMAS, AND UNGAR, INC. 

02-60239 SD FL 7/14/2004 SUPPLEMENTAL ORDE

CUCINELLO, JOHN M. 78-62 CFTC 07/01/80 4f 

4g 

1.18(c) 1.32 

CULL, FRANK A. 91-7 CFTC 10/16/92 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

74
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CULLEN, JACK DWIGHT 4-98-CV-0140A ND TX CULPEPPER, HERBERT D. 88-32 CFTC 09/26/89 166.3 

CUNNINGHAM, JOSEPH MICHAEL 

92-6427 SD FL 12/08/93 166.3 PERMANENT INJUNCTI

CUNNINGHAM, JOSEPH MICHAEL 

94-7 CFTC 12/09/93 4o 4.31(g) 

4.41(a) 166.3 

CUNNINGHAM, KEITH H. 97-14 CFTC 08/13/97 4o(1) 

4k(3) 

166.3 

CURNES, ELIZABETH HUNT 78-7 CFTC 07/21/81 4a 150.4 

CURRENCY MANAGEMENT GROUP, INC. 

5:01CV1496 ND OH 4/30/02 4c(b) 

4m(1) 4o(1) 4k(2) 4n(4) 

32.9 32.11 33.3 32.5 3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTIO

CURRENCY MERCHANTS, LTD. 79-03851 CD CA 05/09/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

CURRENCY SPECIALIST, INC. 79-4867 SD NY 09/29/79 4c(b) 

4c(c) 

PERMANENT INJUNCTI

CURRENCY SPECIALISTS, INC. 79-13851 CD CA 05/09/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

CURRENCY TRADING SYSTEMS 00-06 CFTC 2/28/00 4b(a)(i) 

4b(a)(iii) 

4.41(a) 4.41(b) 

COMPLAINT FILED 

75
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

CURREX INTERNATIONAL CORP. 

CIV-PJM-98-3316 D MD 10/29/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 4b(a)(iv) 

PERMANENT INJUNCTI

CUSTER, RUSSELL HARLAN 91-228-LRC ED AR 03/29/95 RESTRAINING ORDER CUSTER, RUSSELL HARLAN 92-27 CFTC 09/22/92 4b 

4c(b) 4d(1) 4d(2) 4m 4o 

1.20 1.33 4.13 4.20(b) 4.20(c) 33.10 

CYBULSKI, GLENN 00-06 CFTC 2/28/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMPLAINT FILED 

CZARNIKOW-RIONDA COMPANY, INC. 

83-47 CFTC 06/29/83 4d(1) 

D&B INVESTMENTS ASSOCIATES 

84-0636 SD CA 01/27/86 4m 

4o(1) 4n(4) 

4.21 4.22 

PERMANENT INJUNCTI

D. E. JONES COMMODITIES INC. 

83-5909WK SD NY 07/02/85 166.3 PERMANENT INJUNCTI

D. MOBLEY, INC. 00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

D. WEISS & ASSOCIATES, INC. 85-3565 SD FL 10/21/88 4(a) 

4b(A) 

PERMANENT INJUNCTI

76
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

D’AMATO, FRANK SD-99-3 CFTC 12/21/99 8a(3)(M) 

8a(A) 

COMMISSION ORDER 

D’AMICO, LOUIS 93-2 CFTC 3/24/04 COMMISSION ORDER 

DAHL, DAVID B. 83-2 CFTC 02/10/84 1.16(b)(2) 

1.10 1.16 1.16(d)(1)(i) 17.00(c)(2) 1.17(c)(5) 1.16(e)(2) 

DALEY, SAMUEL 1:02-CV-1381 ND GA 4/2/03 PERMANENT INJUNCTI

DALLAS BROKERAGE COM., INC. 

78-46 CFTC 05/29/79 

DAMASO, DONALD PETER 92-12 CFTC 12/17/91 4o(1)(B) 4.13(b)(2) 

DAMIAANS, FERDINAND J. 93-0088 ED NY 08/09/93 4(a) 

4b(A) 4d(1) 

3.10 PRELIMINARY 

INJUNCTION 

DANIELS, MARK 85-31 CFTC 01/22/88 4m 

4o(1) 4b(A) 4n(3)(A) 

4.41(a) 1.31 4.32 4.41(b) 

DANIELS, RICHARD 86-6 CFTC 03/10/92 4b(A) 166.3 

77
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DARPA, FRANK 81-24 CFTC 08/07/81 4a(2)(B) 

4i 6(b) 

150.10 18.04 

DASILVA, MAURICIO 04 CV 7609 SD NY 9/27/2004 COMPLAINT FILED 

DASKOSKI, BARBARA 84-0636 SD CA 01/27/86 4m 

4o(1) 4n(4) 

4.21 4.22 

PERMANENT INJUNCTI

DATA TECH RESEARCH CORPORATION 

90-26 CFTC 02/11/91 4d(2) 

4g 

1.20(c) 1.21 166.3 33.7 

DAUBERT, JAMES L. 88-7 CFTC 04/10/92 4g 1.35(d) DAVID, DAN W. 75-11 CFTC 07/15/77 6(b) 

6(c) 9(b) 

DAVIS, HARRY L. 92-17 CFTC 03/31/92 4c(b) 33.10 

166.3 

DAVIS, MITCHELL STEPHEN 01-10 CFTC 5/24/2004 4c(b) 33.10 

166.3 

COMMISSION ORDER 

DAVIS, SHERALDINE 81-2250-W WD TN 05/06/86 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

DAY, ADRIAN 92-1 CFTC 09/29/92 4c(b) 

4d(1) 

1.55 30.3(a) 30.4(a) 30.6 33.3(b) 33.7 

DAY, RAYMOND 79-4873 SD NY 10/23/79 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

78
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DAYTON, FORREST, JR. 99-7 CFTC 3/16/00 NOTICE OF EFFECTIVE 

DATE 

DBS CAPITAL, INC. C 03-1379VRW ND CAL 5/15/03 4b(a)(2)(i)­

(iii) 4(a) 

1.1(b)(1)­1.1(b)(3) 

PRELIMINARY INJUNCTION 

DE GOL ENTERPRISES, INC. 92-7158 SD FL 11/16/92 4b(A) 

4b(B) 4c(b) 4d(1) 4k(1) 4k(2) 4m 4o 

3.12 4.13 4.21 33.10 

RESTRAINING ORDER 

DE GOL FINANCIAL GROUP, INC. 

92-7158 SD FL 11/16/92 4b(A) 

4b(B) 4c(b) 4d(1) 4k(1) 4k(2) 4m 4o 

3.12 4.13 4.21 33.10 

RESTRAINING ORDER 

DEANGELIS, JOEL 96-D-389 D COL 01/24/97 4o(1) 

4b(i) 4b(ii) 4b(iii) 9(a)(1) 4m(1) 4k(2) 4n 9(a)(3) 

3.12(a) 1.31 3.31 4.22 4.23 4.24(n) 4.25 4.41 4.21(a) 4.21(b) 4.21(e)(2) 4.21(g)(1) 4.26(a)(2) 4.26(a)(2)(c) 

PERMANENT INJUNCTI

DEANGELIS, JOHN A. 87-14 CFTC 03/20/89 4c(b) 33.10 

DEARBORN FINANCIAL PUBLISHING, INC. 

00-34 CFTC 9/28/00 4b(a)(i) 

4b(a)(iii) 4c(b) 4o(1) 

4.41(a) 4.41(b) 33.10 

COMPLAINT FILED 

DECKELBAUM, MITCHEL J. 87-3 CFTC 03/22/88 4b(A) DEFRANCESCO, JOSEPH 02-09 CFTC 6/12/03 4b(a)(i) 1.35(d) COMMISSION ORDER 

79
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 

DEH FINANCIAL SERVICES INC. 87-8 CFTC 02/27/87 4b(A) 

4b(B) 4b(C) 4b(D) 4o(1) 

DEJONG, FRED ERIC 97-CIV-1360 ND CAL 11/21/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4k(2) 

PERMANENT INJUNCTI

DEL DEO, ELLEN DAVID 82-2062 SD FL 01/25/84 4o(1) PERMANENT INJUNCTIDEL DEO, ELLEN DAVID 84-19 CFTC 01/10/84 4o(1) DEL DEO, PAUL 82-2062 SD FL 01/25/84 4o(1) PERMANENT INJUNCTI

DEL DEO, PAUL 84-19 CFTC 01/10/84 4o(1) 

DEL RE, ANGELO 85-4 CFTC 03/14/85 4c(a) 

4g 

1.38(a) 1.35 

DELBRIDGE, DAVID S. 81-770 D MN 04/03/85 4o(1) 

4n(4) 4n(3)(A) 

1.16 4.22(d) 4.22(h) 4.23 1.31(a) 4.21 

PERMANENT INJUNCTI

DELBRIDGE, DAVID S. 85-15 CFTC 03/14/85 4n(3) 1.16 

80
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4n(4) 4o(1) 

1.31(a) 4.21 4.22(d) 4.22(b) 4.23 

DELESSEPPES, PARIS a/k/a NANCY LEMAY CASSIDY a/k/a NANCY RAE NEWMAN 

03-767 FMC CD CAL 5/21/2004 4b(a) 

4(a) 

PERMANENT INJUNCTI

DELLARCIPRETE, ANTHONY a/k/a TONY DELL 

5:01CV1496 ND OH 4/30/02 4c(b) 

4m(1) 4o(1) 4k(2) 4n(4) 

32.9 32.11 33.3 32.5 3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

DELLARCIPRETE, EMIDO 5:01CV1496 ND OH 4/30/02 4c(b) 

4m(1) 4o(1) 4k(2) 4n(4) 

32.9 32.11 33.3 32.5 3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

DELOITE & TOUCHE LLP 96-10 CFTC 09/25/96 

DELONG, STEPHEN 02-60769 SD FL 8/31/2004 PERMANENT INJUNCTI

DELOS COMMODITIES 85-35 CFTC 08/19/86 4f(1) 21.02 

81
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DELOS COMMODITIES, INC. 80-28 CFTC 01/06/84 4b 

4c(a) 4g 

1.37 1.38 

DELOS COMMODITIES, INC. 80-30 CFTC 01/06/84 4b 

4c(a) 4g 

1.37 1.38 

 

DELOS COMMODITIES, INC. 80-31 CFTC 01/06/84 

DELTA COMMODITIES CORPORATION 

78-65 CFTC 02/18/82 4b 

DELTA COMMODITIES CORPORATION 

79-4 CFTC 02/18/82 4b 

DELTA CONSULTANTS 94-2403 SD NY 04/05/94 4c(b) 32.9 RESTRAINING ORDER 

DELTA FINANCIAL CORP. 6:00-0567 SD WV 3/14/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4d(1) 4d(2) 4o(1) 

4.13(b)(2)(i)(A) 4.13(b)(2)(i)(B) 4.20(c) 33.10 

PERMANENT INJUNCTIO

DELTA OPTIONS 94-2403 SD NY 04/05/94 4c(b) 32.9 RESTRAINING ORDER 

DEMARCO, THOMAS F. 00-01 CFTC 12/13/99 4b(a) COMMISSION ORDER DEMEO, ROBERT 78-1069 SD FL 01/17/83 4c(b) 

4o(1) 

32.9 PERMANENT INJUNCTI

DEMHOFF CORPORATION 89-25 CFTC 08/03/90 4a(5) DEMPSEY, MARTIN J. JR. 91-13 CFTC 10/05/93 4b(A) 

4b(B) 4b(D) 4c(a)(A) 

1.38(a) 

DEMPSEY, RICHARD R. 89-25 CFTC 08/03/90 4a(5) 

82
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DEN HARTOG, JAMES 00-07 CFTC 3/7/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 

33.10(a) 33.10(b) 33.10(c) 

COMMISSION ORDER 

DENG, NINA 93-0067 CD CA 05/20/94 4(a) PERMANENT INJUNCTIDENIGRIS, MICHAEL SALVATORE 

SD-95-23 CFTC 08/08/95 

DENIZ, THOMAS J. 96-5895 ED CA 07/30/96 

04/07/97 11/16/98 

4m(1) 4b(a)(i) 4o(1) 

4.20 PRELIMINARY 

INJUNCTION 

DENNIS, LAWRENCE A. 86-17 CFTC 04/15/87 4(a) 

DEPALMA, ROBERT 79-42 CFTC 09/20/82 4c(b) 

4f(1) 4f(2) 4g(1) 

1.17 1.18 1.31(a) 32.6 

DEPRIZIO, DANIEL 79-42 CFTC 09/20/82 4c(b) 

4f(1) 4f(2) 4g(1) 

1.17 1.18 1.31(a) 32.6 

DESALVO, NICHOLAS 92-19 CFTC 02/04/98 4b(A) 

4b(C) 4b(B) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

83
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DESANO, MARK J. 82-777 ND NY 08/06/82 4b(A) 

4o(1) 

4.41 PERMANENT INJUNCTI

DESANTIS, FRANK 01-7402 SD FL 1/20/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTI

DESTASIO, THOMAS 02-60769 SD FL 8/31/2004 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

DEWITT, SCOTT 00-35 CFTC 7/8/02 4c(b) 33.10 ALJ ORDER DEXTER, JOHN J. 77-10 CFTC 11/13/86 DEXTER, JOHN J. 79-0609 ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

DEZELL, PETER JAMES 92-29 CFTC 09/29/92 4k(1) 1.35(a-1) 

3.12 

DIAL, DONALD. D. 80-19 CFTC 10/27/87 4b(A) 

4d(2) 4g 4i 6(b) 6(c) 9(b) 13(a) 

1.20 1.37 17.01 18.00 18.01 18.04 

DIAL, SCOTT D. 80-19 CFTC 08/18/87 4b(A) 

6(b) 6(c) 9(b) 13(a) 

DIAL, SCOTT D. 81-3 CFTC 12/16/80 DIAS, PAULINO RENE, JR. 03-2659 TJH CD CAL 12/13/2004 4b(a)(2)(i)&(i 

ii) 4c(b) 4o(1)(A)&(B) 

33.10 PERMANENT INJUNCTI

DICKSON, FREDERICK J. 83-62 CFTC 12/07/83 

84
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DICKSON, FREDERICK J. 84-5 CFTC 04/12/84 4c(a)(A) 1.38(a) DICKSTEIN, MARK B. 90-29 CFTC 09/09/91 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

DIGISO, JOSEPH JOHN 83-24 CFTC 03/11/83 4e DILLON, CHASE, WEST, INC. 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

DILLON-GAGE, INC. 80-4 CFTC 06/20/84 4d(2) 

4f(2) 4g(1) 4g(3) 4g(4) 

1.20(a) 1.32 1.26(a) 1.23 1.28 1.17 1.33 1.33(a) 1.35(a) 1.35(a-1) 1.32 

DINAPOLI, ANTHONY 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

DIPASQUALE, VINCENT A. 78-35 CFTC 06/29/78 6(b) DIPLACIDO, ANTHONY J. 01-23 CFTC 9/14/2004 6(d) ALJ INITIAL DECISION 

85
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DIPPOLITO, MICHAEL A. 02-60239 SD FL 7/14/2004 SUPPLEMENTAL ORDEDIRKSEN, TERRY ALLAN 98-4 CFTC 09/24/98 4b(a) 

4o(1)(A) 4o(1)(B) 

DISARRO, ROBERT 02-13 CFTC 7/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 1.35(d) 

COMPLAINT FILED 

DISCOUNT BULLION RESERVE 84-1463 SD CA 09/03/85 4m 

19 9 

31.1 31.24 

PERMANENT INJUNCTI

DISHY BROTHERS 79-27 CFTC 03/10/81 4b(D) 1.38 

1.39 

DISHY, BERNARD 79-27 CFTC 03/10/81 4b(D) 1.38 

1.39 

DITTMER, THOMAS H. 83-20 CFTC 02/17/83 4a(2)(B) 

4i 

150.2 150.4 150.11 150.12 18.00 18.01(d) 18.04 

DIVERSIFIED MANAGEMENT SERVICES CORP. 

90-16 CFTC 04/22/91 6(b) 

8b 4k(3) 

4.31 

DIVERSIFIED OIL INVESTMENT INC. 

80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

86
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DIVERSIFIED TRADING SYSTEMS 

94-5 CFTC 11/03/93 4b(a) 

4c(b) 

33.7(f) 33.10 

DIVERSIFIED TRADING SYSTEMS, INC. 

82-8529 SD FL 10/26/93 4b(a) 

4c(b) 

33.7(f) 33.10 

PERMANENT INJUNCTI

DIVESIFIED INVESTOR’S GROUP, INC. 

83-1591EBD SD FL 05/09/85 4o(1) 

4b 

4.21(a) 4.22 166.3 

PERMANENT INJUNCTI

DIVOZZO, THOMAS M. 82-72570 ED MI 09/16/86 4(a) 

4b(A) 

 PERMANENT INJUNCTI

DIXON, CARL DEAN 00-03 CFTC 4/12/00 4b 

4o 4m 

ALJ ORDER 

DMANSKIY, EDUARD a/k/a EDWARD DUMANSKY 

03 CV 7112 SD NY 8/24/2004 4(a); 

4b(a)(2)(i) & (iii) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

DOHERTY, JOHN FRANCIS 83-23 CFTC 12/10/90 4e 

4g(1) 

1.35 

DOLPHIN COMMODITIES, INC. 80-33 CFTC 09/24/81 4f(2) 

4d(2) 

1.17 1.18b 1.10(b) 1.20(a) 1.28 

DOMBROSKI, WALTER 88-20 CFTC 12/16/88 4b 

DOMESTIC OIL CORPORATION 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

87
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DOMINICK, KEITH 94-661-CIV MD FL 04/01/96 4b(a)(i) 

4m(1) 4o(1) 9(a)(1) 4n(3)(A) 4b(a)(ii) 

4.20 4.21 4.22 1.31 

PERMANENT INJUNCTI

DOMINICK, WARREN J. 88-4 CFTC 12/21/87 4f(2) 

6(b) 

1.10(b)(2) 1.10(d) 1.17(a) 

DONALD JAMES, INC. 1:99-cv-0967 ND GA 5/8/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

DONALDSON, LUFKIN & JENRETTE ACLI FUTURES 

84-49 CFTC 03/07/85 4g(1) 

4i 6(b) 

17.00(a)(1) 17.01 17.02 166.3 

DONATACO, INC. 89-2778MAC ED NY 08/31/89 4b(A) 

4d(2) 4d(1) 4o(1) 9(a) 

1.20 3.4 4.20(a) 4.20(b) 4.20(c) 4.41(a) 

PRELIMINARY INJUNCTION 

DONATELLI, MARC 6:03CV42 ED TX 1/30/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1) 1.1(b)(3) 

COMPLAINT FILED 

DONCOMM FINANCIAL, INC. 84-0636 SD CA 01/27/86 4m 

4o(1) 4n(4) 

4.21 4.22 

PERMANENT INJUNCTI

DONCOMM FINANCIAL, LTD. 84-0636 SD CA 01/27/86 4m 

4o(1) 4n(4) 

4.21 4.222 

PERMANENT INJUNCTI

DONNEY SECURITIES, LTD. 79-42 CFTC 10/21/81 4c(b) 

4f(1) 4f(2) 4g(1) 

1.17 1.18 1.31(a) 32.6 

DORMAGEN, ROBERT L. 6:00-0567 SD WV 3/14/02 4b(a)(i) 

4b(a)(ii) 

4.13(b)(2)(i)(A) 4.13(b)(2)(i)(B) 

PERMANENT INJUNCTIO

88
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(iii) 4c(b) 4d(1) 4d(2) 4o(1) 

4.20(c) 33.10 

DORNER, JOSEPH C. SD-82-3 CFTC 06/17/82 DOST, ARBEN 86-5457 CD CA 01/12/87 4m 

4o(1) 

 PERMANENT INJUNCTI

DOUE, FRANKLIN ERROL 93-25 CFTC 09/07/93 4b(a)(ii) 

DOWLER & BEEKMAN TRADING COMPANY, LTD. 

96-14284 SD FL 02/19/97 9(a)(1) 

4b(a)(i) 4b(a)(ii) 4k(2) 4k(3) 4m(1) 4o(1) 

4.20 4.30 4.41(b) 

PERMANENT INJUNCTI

DOWLER, JAMES V. JR. 96-14284 SD FL 02/18/97 4b(a)(i) 

4b(a)(ii) 4k(2) 4k(3) 4m(1) 4o(1) 9(a)(1) 

4.20 4.30 4.41(b) 

PERMANENT INJUNCTI

DOYLE, JAMES J. 79-11 CFTC 02/26/79 

DREHER, DAVID B. 85-6 CFTC 01/03/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

DRESNER, LAWRENCE ALLEN 85-6705 SD FL 09/30/85 4(a) 

4b(A) 4b(C) 

 PERMANENT INJUNCTI

DREXEL BURNHAM LAMBERT INCORPORATED 

89-3 CFTC 11/10/88 4c(a) 

4g 

1.35(a-1)(1) 1.35(a-1)(2) 1.38(a) 

DREXEL BURNHAM LAMBERT, INCORPORATED 

88-10 CFTC 11/22/89 4g 1.31(a) 

1.35(a) 

89
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.37(a) 17.00(a) 17.00(b) 17.01(a) 17.01(b) 17.02(a)(2) 166.2 1.35(a-1)(1) 166.3 

DREZNER, BRUCE ALAN 92-6009 SD FL 09/21/93 PERMANENT INJUNCTIDRIGGS, KAY ALLAN 81-0633 D UT 08/26/81 4o(1) PERMANENT INJUNCTI

DRIGGS, KAY ALLAN 82-12 CFTC 03/03/82 4m 

4n(3) 4o(1) 6(b) 

4.21(a) 4.21(b) 4.23 4.31(a) 4.31(b) 

DROGE, WILLIAM 79-1201 SD NY 04/05/79 32.9 

32.11 32.5 32.3 

PERMANENT INJUNCTI

DROGE, WILLIAM 98-CIV-1365 SD NY 03/03/98 4b 

4(a) 

PRELIMINARY 

INJUNCTION 

DRURY AND ASSOCIATES, INC. 88-2 CFTC 11/10/87 4o(1) 

4k(1) 

DRURY, FRANK V. 88-2 CFTC 11/10/87 4o(1) 

4k(1) 

DUFFY, APRIL CV 03 603 D OR 8/25/2004 4b(a); 4(a) 1.1(b) PERMANENT INJUNCTI

90
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DUKE ENERGY TRADING AND MARKETING, L.L.C. 

03-26 CFTC 9/17/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

DUKE, ROBERT E. 79-28 CFTC 10/15/80 4c(b) 32.9 

DULL, MARGARET 99-17 CFTC 4/10/00 4g 1.35(a-1)(1) 

1.35(a-2)(1) 

COMMISSION ORDER 

DUNCAN, LARRY M. JR. 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

DUNHILL FINANCIAL GROUP, INC. 

99-7 CFTC 2/4/00 4c(b) 166.3 

33.10 

COMMISSION ORDER 

DUNHILL INVESTMENTS CORPORATION 

90-25 CFTC 12/17/91 4c(b) 33.7(f) 

33.10 166.3 

DUNLAP, DAVID 79-03851 CD CA 04/30/82 4c(c) 

4c(b) 

PERMANENT INJUNCTI

DUNN, WILLIAM C. 94-2403 SD NY 04/05/94 4c(b) 32.9 RESTRAINING ORDER 

DUPLAIN, ALFRED A. 79-2087 D DC 10/29/79 4m 

4n(3)(A) 4o(1) 

4.21 4.23 

PERMANENT INJUNCTI

DUPLAIN, KEVIN R. 79-2087 D DC 10/29/79 4m 

4n(3)(A) 4o(1) 

4.21 4.23 

PERMANENT INJUNCTI

DUPONT GROUP, INC. 98-CIV-1365 SD NY 03/03/98 4(a) 

4b 

PRELIMINARY 

INJUNCTION 

DURKIN & ASSOCIATES INC. 88-12 CFTC 03/11/88 4b(A) 

4k(2) 4k(5) 4n(1) 4o(1) 6(b) 

4.21(a) 166.3 

DURKIN, JOHN F. 82-43 CFTC 05/02/84 4b 

4m 4n 4o(1) 

4.20(c) 4.21 4.22 4.24 

91
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DURKIN, JOHN F. 88-12 CFTC 09/13/88 4b(A) 

4k(2) 4m(1) 4n(1) 4o(1) 6(b) 

3.14 4.21(a) 

DURKIN, TIMOTHY E. SR. 88-12 CFTC 03/11/88 4b(A) 

4k(2) 4k(5) 4m(1) 4n(1) 4o(1) 6(b) 

3.14(a) 4.21(a) 166.3 

DUVERGLAS, LESLIE 77-18 CFTC 11/29/77 6(b) DYNEGY MARKETING & TRADE 03-03 CFTC 12/18/02 6(c) 

6(d) 9(a)(2) 

1.31 1.35 1.40 

COMMISSION ORDER 

E & P NORTH AMERICAN TRADING CORP. 

80-0689 SD NY 12/17/80 4 

4h 4b 

PERMANENT INJUNCTI

E NET SPECULATION LTD d/b/a E NET SPECULATION S.A. 

3:04CV169-S WD KY 12/1/2004 4(a) 

4b(a)(2)(iv) 

PERMANENT INJUNCTI

E PRIME ENERGY MARKETING, INC. 

04-12 CFTC 1/28/2004 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

E. DAVID STEPHENS COMMODITIES 

90-3276 ED NY 07/18/91 4c(b) 33.7(f) 

33.10 166.3 

PERMANENT INJUNCTI

E. DAVID STEPHENS COMMODITIES CORP. 

91-18 CFTC 07/09/91 4c(b) 33.7(f) 

33.10 166.3 

92
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

E. F. HUTTON & COMPANY INC. 86-11 CFTC 02/24/86 4g 1.31 

1.33(e) 1.35(a) 1.38(b) 1.55(a) 

E.D. & F. MAN (SUGAR), LTD. 85-44 CFTC 09/27/85 4c(a)(B) 

E.D.P. COMMODITY, INC. 82-8 CFTC 05/19/82 4i 15.01 

18.04 

E.F. HUTTON & COMPANY, INC. 89-24 CFTC 09/21/89 4b(A) 

4c(b) 4o(1) 

32.9 166.3 

E.F. HUTTON AND COMPANY, INC. 

88-3 CFTC 11/17/87 4b(A) 

4g 4g(1) 4k(1) 

1.31(a) 1.35(a) 1.56(b)(1) 1.56(b)(2) 17.00 17.01(b)(6) 17.01(d) 166.3 

EAGAN AND COMPANY, INC. 92-20 CFTC 07/31/92 4f(2) 

4g(1) 6(b) 

1.10(b) 1.10(d) 1.12(a) 1.17(a) 1.18(a) 1.18(b) 1.31 1.12(c) 

EAGAN, JAMES R. 92-20 CFTC 07/31/92 4f(2) 

4g(1) 6(b) 

1.10(b) 1.10(d) 1.12(a) 1.12(c) 1.17(a) 1.18(a) 1.18(b) 1.31 

EARL K. RILEY COMPANY 78-42 CFTC 07/24/79 

EARL K. RILEY COMPANY (THE) 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

EAST OCEAN INTERNATIONAL 92-1676 CD CA 12/19/94 4m 4.21(a) PERMANENT INJUNCTI

EASTON AND COMPANY 79-27 CFTC 03/10/81 4b(D) 

4g 

1.35 1.37 1.38 

93
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.39 

EASTON, KENNETH 79-27 CFTC 03/10/81 4b(D) 1.38 

1.39 

EASTON, STANLEY 79-27 CFTC 03/10/81 4b(D) 1.38 

1.39 

EBAUGH, CURTIS M. 03-16 CFTC 6/30/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

ECKLES, OLIVER BURNHAM 93-22 CFTC 07/16/93 4b(a)(i) 

4o(1) 9(a)(1) 

ECONOMIC CONSULTANTS OF PRINCETON, INC. 

85-47 CFTC 02/08/93 4m 

4b(A) 4o(1) 

4.31(a) 4.31(b) 4.41(a) 4.41(b) 4.32 

ECONOMIC CONSULTANTS OF PRINCETON, INC. 

87-10 CFTC 07/16/87 

ECONOMIC MANAGEMENT, INC. 87-20 CFTC 09/29/87 4m(1) 

4n(3)(A) 

1.31 4.23 

ECONOMOU ARTHUR N. AND COMPANY, INC. 

79-2134VB SD NY 10/30/81 

05/24/85 

4c(b) 4c(c) 

32.7 32.11 

PERMANENT INJUNCTI

ECONOMOU, ARTHUR N. 79-2134VB SD NY 10/30/81 

05/24/85 

4c(b) 4c(c) 

32.7 32.11 

ECONOMOU, PHYLLIS H. 79-2134VB SD NY 10/30/81 

05/24/85 

4c(b) 4c(c) 

32.7 32.11 

94
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

EDCO MANAGEMENT CORP. 89-4 CFTC 12/13/91 4b(A) 166.3 

EDELSON, LAWRENCE S. 87-1 CFTC 11/07/86 4c(a)(A) 

4c(a)(B) 6(b) 6(c) 9(b) 

1.38 

EDMUNDSON, WARREN 88-3 CFTC 05/26/88 4b(A) 

EDWARDS, TYRONE 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

EFFRON, CRAIG W. 93-1 CFTC 05/19/94 4c(a)(A) 

4c(a)(B) 

1.38(a) 

EFFRON, CRAIG W. 93-2 CFTC 03/04/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

EFROSMAN, ALEX 97-13 CFTC 2/8/00 4(a) 

4b(a)(i) 4b(a)(ii) 4d(1) 4k(1) 

3.12(a) ALJ ORDER 

EGAN, THOMAS M. 93-18 CFTC 05/24/93 4f(b) 

6(c) 

1.10(d) 1.17(a)(1)(i) 1.17(a)(4) 

EGAN, THOMS MADDEN 90-C4387 ND IL 09/13/91 4b(A) 

4c(b) 4o(1)(B) 

33.10(a) PERMANENT INJUNCTI

EGGUM, JOHN E. 89-13 CFTC 08/02/89 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

95
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

EHRENBERG, GEORGE 82-4925 ED IL 12/15/82 4m 4.31(a) 

4.31(f)(1) 4.41(b) 

PERMANENT INJUNCTI

EHRENSPECK, ROBERT S. 83-22 CFTC 08/06/84 4e 

EINSTEIN – CISVEST INC. 94-9 CFTC 12/09/93 4b(a) 

4c(b) 4o 

4.31(g) 4.41(a) 33.7(f) 33.10 

EINSTEIN-CISVEST 92-6427 SD FL 11/17/93 4b(a) 

4c(b) 4o 

33.7(f) 33.10 4.31(g) 4.41(a) 

PERMANENT INJUNCTI

EISBART, SAMI 80-0689 SD NY 12/17/80 4 

4h 4b 

PERMANENT INJUNCTI

EISBART, SAMI 81-2250-W WD TN 09/11/85 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

EISENBERG, MURRAY 80-23 CFTC 12/02/81 4n(4) 

4o(1) 4o(2) 

4.21 4.22 

EISLER, NORMAN 01-14 CFTC 1/20/2004 9(a)(4) 

6(c) 6(d) 

33.9 COMMISSION ORDER 

EL PASO MERCHANT ENERGY, L.P. 

03-09 CFTC 3/26/03 6(c) 

6(d) 9(a)(2) 

1.31 1.35 1.40 

COMMISSION ORDER 

ELDMAN, RICHARD L. 80-315 SD FL 10/07/81 4o(1) PERMANENT INJUNCTI

ELISH, HAROLD D. 85-49 CFTC 09/30/85 4k(1) 3.12 

ELISHA, W. ROBERT 92-29 CFTC 09/29/92 4g 1.35(a-1) 

96
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ELLIOT, BENJAMIN T. 79-28 CFTC 10/15/80 4c(b) 32.9 

ELLIOTT, DAVID BRUCE 85-48 CFTC 09/30/85 166.3 

ELLIOTT, GREGORY W. individually and d/b/a SOFTRADE, INC. and SOFTRADEINC.COM 

03-07 CFTC 3/28/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) ALJ INITIAL DECISION 

ELLIOTT, WAYNE I. 95-1 CFTC 03/04/98 4c(a)(A) 

4c(a)(B) 

1.38(a) 

ELSESSER, KEITH 8:03-CV-681-T MD FL 9/3/03 4c(b) 32.9(a) & (c) 

1.1(b)(1) & (3) 32.11 33.3(a) 

PRELIMINARY INJUNCTION 

ELTZROTH, GEOFFREY M. 1:00 CV 0300 ND IND 2/12/03 4k(2) 

4o(1)(B) 

PERMANENT INJUNCTI

EMANUEL CAPITAL ADMINISTRATORS 

87-1 CFTC 11/07/86 4c(a)(A) 

4c(a)(B) 6(b) 6c 9(b) 

1.38 

EMERALD WORLDWIDE HOLDINGS 

CV03-8339 CD CAL 11/18/03 EX PARTE RESTRAININ

ORDER 

EMERALD WORLDWIDE HOLDINGS 

CV03-8339 CD CAL 9/15/2004 CONTEMPT ORDER 

97
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

EMPEROR INTERNATIONAL EXCHANGE 

95-2668 D NJ 06/02/95 4(a) PERMANENT INJUNCTI

EMPEROR INTERNATIONAL EXCHANGE CO. 

94-1162-A ED VA 05/26/95 4(a) PERMANENT INJUNCTI

ENERGY INVESTMENT EXCHANGE, INC. 

80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

ENGARD, RHONDA 77-4 CFTC 07/19/77 4c(b) 32.9 ENGEL, CHRISTOPHER 93-5 CFTC 04/23/97 4c(a)(A) 

4c(a)(B) 

1.38(a) 

ENGEL, CHRISTOPHER E. 93-1 CFTC 05/19/94 4c(a)(A) 

4c(a)(B) 

1.38(a) 

ENGLAND, MARK W. 88-18 CFTC 06/07/88 6(b) 

ENRON CORP. H-03-909 SD TX 5/28/2004 6(c) 

6(d) 9(a)(2) 4(a) 

PERMANENT INJUNCTI

ENSERCO ENERGY, INC. 03-22 CFTC 7/31/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

ENSIGN TRADING CORP. 00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

98
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ENTERGY-KOCH TRADING, LP 04-10 CFTC 1/28/2004 9(a)(2) COMMISSION ORDER EPWORTH FINANCIAL, LTD. 00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

EQUITY FINANCIAL GROUP LLC 04CV1512 D NJ 4/1/2004 STATUTORY 

RESTRAINING ORDER 

EQUITY TRADING CORP. 85-6936 SD FL 12/19/85 RESTRAINING ORDER ERICKSON, GAYE L. 84-41 CFTC 05/22/85 4b(A) 

4b(B) 4b(C) 

ERICKSON, ROY E. 89-5 CFTC 05/11/90 4c(a)(A) 

4c(a)(B) 

1.38(a) 

ERICSON FINANCIAL GROUP, INC. 

92-6893 SD FL 12/12/94 4m 

4o 4d(1) 4b(a)(i) 4b(a)(ii) 4c(b) 4g 4n(3)(A) 

4.13 33.10 4.21 1.31 

PERMANENT INJUNCTI

ERSKINE, ROSS 1:040v0016 ND OH 1/5/2004 COMPLAINT FILED 

ESPOSTI, EDWARD 79-3382 SD NY 12/05/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

ESTEP, KEITH 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

ETTINGER, AARON 04-80562 SD FL 6/21/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

EULO, JAMES 04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

99
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RESTRAINING ORDER 

EUREX MARKETING CORPORATION 

97-7422 SD FL 10/20/99 4b(a)(2) PERMANENT INJUNCTI

EURO AMERICAN CURRENCY CORPORATION 

79-4313 SD NY 09/26/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

EUROBANCORP 03-767 FMC CD CAL 1/28/2004 4b(a) 

4(a) 

1.1(b) PERMANENT INJUNCTI

EURO-CAL, LTD. 79-0752 CD CA 07/29/80 4d 

4b 

1.7 PERMANENT INJUNCTI

EURO-CAL, LTD. 80-27 CFTC 02/27/87 4b 

4d 4h 

1.7 

EUROGOLD EXCHANGE 90-0332 CD CA 01/28/93 4c(b) 32.11 PERMANENT INJUNCTI

EUROGOLD EXCHANGE, LTD. 90-0332 CD CA 01/28/93 4c(b) 32.11 PERMANENT INJUNCTI

EUROMETALS INCORPORATED 80-27 CFTC 02/27/87 4b 

4d 4h 

1.7 

EUROMETALS, INC. 79-0752 CD CA 03/09/82 4b 

4d 

1.7 PERMANENT INJUNCTI

EUROPACIFIC EQUITY AND CAPITAL MANAGEMENT, LTD. 

99-6560-CIV SD FL 10/29/99 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 

3.12(a) 4.21 4.22 4.24 

PERMANENT INJUNCTI

100
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4n(4) 4o(1) 

4.25 4.26 

EVANS, PETER 85-3059 SD FL 06/26/86 4(a) PERMANENT INJUNCTI

EVERS, HERBERT 86-36 CFTC 09/30/86 166.3 EVERSON, ROBERT 97-11 CFTC 07/30/97 4.34(n)(1) 

4.34(n)(3)iii 4.35(a)(1)ii 4.35(a)(1)iii 4.35(a)(3)(i) 4.35(a)(6) 4.35(a)(7)(i) 4.36(c)(1) 4.36(d)(2) 4.35(a)(1)ivA 4.35(a)(1)ivB 

EXECUTIVE CONTROL CORPORATION 

85-6705 SD FL 09/30/85 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

EXECUTORS MONETARY CORP. OF CALIFORNIA 

80-4801 CD CA 03/19/81 4 

4b 4h 4m 4o 

PERMANENT INJUNCTI

EXECUTORS MONETARY CORP. OF LOUISIANA 

80-4801 CD CA 03/19/81 4 

4b 4h 4m 4o 

PERMANENT INJUNCTI

EYE CONTACT ADVERTISING 86-5457 CD CA 01/12/87 4m 

4o(1) 

PERMANENT INJUNCTI

F. G. HUNTER AND ASSOCIATES 

84-3920KH CD CA 06/18/84 4d(2) 

4f(2) 4g(1) 

1.35(a) 1.18(b) 1.23 

PERMANENT INJUNCTI

101
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.31 1.32 1.20(a) 1.17(a) 1.18(a) 

F.C. & H. INVESTMENT CORP 87-2591HAA D NJ 11/14/91 4b(A) 

4(a) 

PERMANENT INJUNCTI

F.G. HUNTER AND ASSOCIATES 82-35 CFTC 09/16/82 4d(2) 

4f(1) 4g(1) 

1.12(c) 1.17(a)(3) 1.18(a) 1.18(b) 1.20(a) 1.23 1.31 1.32 1.35(a) 1.46(a) 1.31 1.25 1.22 1.20 1.12 

F.J. REARDON, INC. 75-3 CFTC 12/08/75 4b(A) F.X. & B., LLC (A NEVADA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

FAGAN, MICHAEL 6:03CV42 ED TX 6/16/2004 CONSENT ORDER 

FAHR. GEORGE P. 82-31 CFTC 02/09/83 FAIRCHILD, ARABATZIS AND SMITH, INC. 

78-52 CFTC 03/05/84 4c(b) 

4k 

32.3(b) 32.5(a) 32.5(c) 32.5(d) 

102
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.7(e) 32.9 

FAIRCHILD, ARABATZIS AND SMITH, INC. 

79-1671 SD NY 01/01/84 4b 

4c(b) 4c(c) 4k 4o 

32.3 32.5 32.7(e) 32.9 32.11 

PERMANENT INJUNCTI

FAIRFIELD CURRENCY GROUP, INC. 

01-8350 SD FL 7/15/02 4c(b) 32.9 

32.11 33.3 32.5 4.14(a)(9) 

PERMANENT INJUNCTI

FALCON INVESTMENT CORP. 93-2765 SD NY 01/29/96 4d(1) 

4b(a)(i) 4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

FALCONE, ANDREW MARC SD-85-13 CFTC 11/29/85 

FALK, DANIEL 83-2425SAC WD TX 02/21/85 4n(3)(A) 

4o(1) 

1.31 4.23 

PERMANENT INJUNCTI

FALK, LAWRENCE GEORGE 83-21 CFTC 12/20/84 4e 

FALKOWITZ, MICHAEL JACOBS 81-19 CFTC 01/11/83 6(b) 

FANNING, JAMES V. 83-8018WMH SD FL 05/12/84 

07/19/84 

4a PERMANENT INJUNCTI

FARACI, MAZIE 81-24 CFTC 08/07/81 4a(2)(B) 150.10 FARLEY, KATHLEEN A. 91-3 CFTC 10/29/91 4b(A) 

4c(a)(A) 4b(C) 4c(a)(B) 4b(D) 4g 

1.31(a)(1) 1.35(a) 1.38 

FARMER, W. MICHAEL 85-6 CFTC 01/03/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

103
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FARMERS COOPERATIVE COMPANY 

99-6 CFTC 3/9/00 4(a) 

4c(b) 4d(1) 

1.33(a) 1.55 32.2 32.3 33.3(b) 

COMMISSION ORDER 

FARR MAN CLEARING, INC. 85-44 CFTC 09/27/85 4c(a)(B) FARR MANN INTERNATIONAL, INC. 

85-44 CFTC 09/27/85 4c(a)(B) 

FARRA, DAVID 04-28 CFTC 9/30/2004 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

FARRELL, THOMAS JULIAN 92-22 CFTC 07/16/93 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

FASCIANA, DANIEL 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

FASON, STEWART E. 77-8 CFTC 05/12/86 4b 

4o 

FEDERAL GOLD AND SILVER, INC. 

80-36 CFTC 10/28/81 8b 

4b(A) 4b(C) 4d(2) 4f(1) 4f(2) 4g(1) 6b 

1.10(d) 1.10(f) 1.17(a) 1.18(a) 1.18(c) 1.20(a) 1.23 1.32 1.35(a) 1.31 1.32 

104
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FEDERAL GOLD EXCHANGE COMPANY 

79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

FEDERBUSH, CHARLES 85-25 CFTC 07/25/86 4d(2) 

4f(2) 

1.17(a) 1.20(a) 1.20(c) 1.22 166.3 

FEDERBUSH, CHARLES E. 91-7 CFTC 06/25/92 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 

1.31 1.35 1.38(a) 

FEENEY, DAVID 79-1071 D MA 06/15/79 4d(2) 

4f(2) 4g(1) 

1.17a(1) 1.18 1.20(a) 1.31(a) 1.32 1.34 1.35 

PERMANENT INJUNCTI

FEINTUCH, STEVEN J. 78-36 CFTC 08/21/78 

FELSEN, MURRAY P. 89-23 CFTC 08/02/90 4c(b) 33.7(f) 

33.10 166.3 

FENCHURCH CAPITAL MANAGEMENT, LTD. 

96-7 CFTC 07/10/96 6(c) 

9(a)(2) 

FENG, JAMES 93-0088 ED NY 08/09/93 

03/31/98 

4(a) 4b(A) 

3.10 PRELIMINARY 

INJUNCTION 

105
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(1) 

FERGUSON, DAVID H. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

FERGUSON, PHILLIP d/b/a FERGUSON FINANCIAL, B&F TRADING AND FIRST INVESTORS GROUP, INC. 

1:00CV0300 ND IN 6/4/02 4b(a)(2)(C)(i 

) 4b(a)(2)(C)(ii ) 4b(a)(2)(C)(ii i) 4o(1) 4m(1) 

1.31 4.23 

PERMANENT INJUNCTI

FERNANDEZ, VALENTIN 01-8350 SD FL 7/15/02 4c(b) 32.9 

32.11 33.3 32.5 4.14(a)(9) 

PERMANENT INJUNCTI

FERRAGAMO, RONALD 86-32 CFTC 01/14/91 4b(A) 

FERRAIOLI, ROBERT 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 

1.38 COMMISSION ORDER 

FERRARA, LOUIS 76-2095R CD CA 05/06/77 4b 

4c 

 PERMANENT INJUNCTI

FERRARA, LOUIS 77-8 CFTC 06/23/77 4b 

4c 

FERRARA, LOUIS 79-20 CFTC 04/20/77 4b 

4c 

FERRARO, MICHAEL JOHN SD-94-5 CFTC 02/23/94 8a(3)(D) 

FERRELL, JAMES M. 77-12 CFTC 03/08/78 6(b) FERRINI, PHIL 04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

FETCHENHIER, JOEL J. 91-12 CFTC 06/01/94 4b(B) 

4c(a)(A) 

1.38(a) 

FETCHENHIER, JOEL J. SD-93-14 CFTC 8/20/03 ALJ INITIAL DECISION 

106
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FEUILLEBOIS, ROBERT F. 78-52 CFTC 04/27/84 4c(b) 32.3 

32.5 32.9 

FEUILLEBOIS, ROBERT F. 79-1671 SD NY 01/01/84 4b 

4c(b) 4c(c0 4k 4o 

32.3 32.5 32.7(e) 32.9 32.11 

PERMANENT INJUNCTI

FGL COMMODITY SERVICES, INC. 

SD-85-3 CFTC 11/05/84 

FIBIT.COM CV 02-4898 CD CAL 7/22/2004 4o(1)(B) 

4n(4) 

4.20(a)(1) 4.20(b) 4.20(c) 4.13(c)(3) 1.31 4.13(c)(1) 

PERMANENT INJUNCTI

FIC, INC. 93-2765 SD NY 01/29/96 4o(1) 

4d(1) 4b(a)(i) 4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

FIDELITY FIRST CAPITAL CORP. 80-0689 SD NY 07/19/82 4b PERMANENT INJUNCTI

FIDELITY TRADERS GROUP, INC. 

2:98CV00216J CD UT 5/22/00 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 

4.20(b) 4.20(c) 4.24(a) 4.21(a) 

PERMANENT INJUNCTI

FIELD, CARMEN J. 3:98CV0281AS ND IN 12/08/99 4b(a)(i) 

4o(1) 4b(a)(ii) 4m(1) 

4.20 PERMANENT INJUNCTI

FIELD, JOHN A. SD-95-22 CFTC 05/07/97 

FIENGA, JOSEPH 81-2953 D NJ 09/28/81 4b(A) 

4m 4n(1) 4o(1) 

4.31(a) 1.10(c) 1.14 

PERMANENT INJUNCTI

107
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FIENGA, JOSEPH 82-4 CFTC 11/20/81 4b(A) 

4m 4n(1) 4o(1) 

1.10c 1.14 4.31(a) 

FIFE, ANDRE D. 96-4593 CD CAL 07/11/96 4b(a)(i) 

4o(1) 9(a) 4k(2) 4m(1) 

4.20(a) 4.20(b) 4.20(c) 4.41(a) 4.21 

PRELIMINARY INJUNCTION 

FIMAT INTERNATIONAL BANQUE SA (UK BRANCH) 

04-26 CFTC 9/29/2004 4c(a) 1.38(a) COMMISSION ORDER 

FINANCIAL ADVISORS, INC. 92-12258 D MA 03/23/93 4(a) PERMANENT INJUNCTI

FINANCIAL ALTERNATIVES, INC. 

83-44 CFTC 01/10/84 4b(A) 

4b(B) 4n(1) 4n(2) 4n(3)(A) 4n(4) 4o(1) 

1.10c 1.10d 1.14 3.13 3.31 4.21 4.22 4.23 4.24(b) 4.31 

FINANCIAL ALTERNATIVES, INC. 

84-768N D MA 03/26/84 RESTRAINING ORDER 

FINANCIAL CLEARING CORP., LTD. 

01-8350 SF FL 4/23/01 STATUTORY 

RESTRAINING ORDER 

FINANCIAL FUTURES TRADING CORP. 

86-5457 CD CA 4b COMPLAINT FILED 

FINANCIAL PARTNERS BROKERAGE LTD. 

82-C-5851 ND IL 01/17/86 4b PERMANENT INJUNCTI

FINANCIAL PARTNERS, LTD. 82-C-5851 ND IL 01/17/86 PERMANENT INJUNCTI

108
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FINANCIAL PLANNING ALLIANCE INTERNATIONAL 

CV-98-N-1755-S N.D AL. 9/28/00 4b(a)(i) 

4b(a)(iii) 4k(2) 4o(1) 

3.12(a) PERMANENT INJUNCTI

FINANCIAL SERVICES GROUP, INC. 

88-1 CFTC 04/26/88 4c(b) 

4g 

1.35(a-1) 1.35(b)(3) 33.7(d) 33.7(e) 33.10 166.3 

FINANCIAL TRADING CORPORATION 

80-1723 D MD 12/31/80 4c(b) 

4c(c) 

32.9 PERMANENT INJUNCTI

FINANCIAL TRADING GROUP 89-21 CFTC 09/13/89 4c(b) 

4f 4k 6(b) 

3.12(a) 3.15 3.31 33.7(d) 33.7(f) 33.10 166.2 166.3 

FINATERI, JOSEPH 3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

FINTREX, INC. CV-01-06907 CD CAL 1/27/2004 4(a) 

4b(a)(i)-(iii) 

109
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FIRST AMERICAN CURRENCY, INC. 

85-7871-KN CD CA 10/15/92 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

FIRST AMERICAN INVESTMENT SERVICES, INC. 

04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

FIRST AMERICAN INVSTMENT GROUP, INC. 

85-1052F ND TX 11/03/86 4(a) 

4b(A) 

PERMANENT INJUNCTI

FIRST ATLANTIC FINANCIAL SERVICES, INC. 

86-H-4366 SD TX 03/09/87 4(a) 

4b(A) 

PERMANENT INJUNCTI

FIRST BRISTOL GROUP, INC. 02-61160 SD FL 7/2/03 4b(a) 

4(a) 

1.1(b) PERMANENT INJUNCTI

110
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FIRST CAPITAL STRATEGISTS 97-14 CFTC 08/13/97 4o(1) 

4n(3)(A) 4k(3) 

166.3 

FIRST COMMERCIAL FINANCIAL GROUP 

95-10 CFTC 05/20/99 4f(b) 

6c 

1.17(a)(1) 1.17(a)(4) 1.10(d)(1) 1.12(a)(1) 1.12(a)(2) 1.12(b) 

FIRST COMMODITY CORPORATION OF BOSTON 

76-4051-M D MA 11/11/76 4c(b) 

4d(2) 4f(2) 4g(1) 4o(1) 

30.01 1.17 1.20 1.31 1.32 1.33 

PERMANENT INJUNCTI

FIRST COMMODITY CORPORATION OF BOSTON 

79-28 CFTC 10/15/80 4c(b) 

4c(c) 4b 4o(1) 

1.19 32.3(b) 32.5(a) 32.6(a) 32.7(e) 32.9 32.11 32.5(c) 32.5(d) 

FIRST COMMODITY CORPORATION OF BOSTON 

80-2639 D DC 10/16/80 4b(A) 

4o(1) 4c(b) 4c(c) 

1.19 32.9 31.03 

PERMANENT INJUNCTI

FIRST COMMODITY CORPORATION OF BOSTON 

86-6 CFTC 07/26/89 4b 166.3 

FIRST CONTINENTAL COMMODITIES, INC. 

83-C-4994 ND IL 10/14/83 4g(1) 

4b(A) 4b(B) 4b(D) 4d(1) 4d(2) 

166.2 1.20(a) 1.31(a) 1.35 

PERMANENT INJUNCTI

FIRST DOVER COMMODITIES, LTD. 

77-19 CFTC 06/26/80 4o(1) 

4f(2) 

30.02 1.17 

FIRST FINANCIAL TRADING, INC. 

00-35 CFTC 7/8/02 4c(b) 33.10 

166.3 

ALJ ORDER 

FIRST FUTURES GROUP, INC. SD 98-1 CFTC COMPLAINT FILED FIRST INTERNATIONAL 86-72878DT ED MI 08/18/87 4(a) PERMANENT INUNCTIO

111
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COMMODITIES GROUP, INC. FIRST INTERNATIONAL METALS, INC. 

85-6704 SD FL 09/17/85 4(a) PERMANENT INJUNCTI

FIRST INVESTORS GROUP OF THE PALM BEACHES 

01-10 CFTC 5/24/2004 4c(b) 33.10 

166.3 

COMMISSION ORDER 

FIRST LEXINGTON GROUP, LLC 03 CV 9124 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

FIRST LIBERTY GROUP, INC. 04 CV 7609 SD NY 9/27/2004 COMPLAINT FILED 

FIRST MANHATTAN COMMODITIES CORPORATION 

84-42 CFTC 04/03/85 4b(A) 

4o(1) 

4.31(a) 4.31(b) 4.31(d) 4.31(e)(2) 4.31(f)(1) 

FIRST NATIONAL BULLION CORPORATION 

79-0827 SD NY 10/05/82 4c(b) 

4c(c) 

32.3 32.9 32.11 

PERMANENT INJUNCTI

FIRST NATIONAL MONETARY CORPORATION 

83-2533DT ED MI 02/07/86 4o(1) PERMANENT INJUNCTI

FIRST NATIONAL MONETARY CORPORATION 

86-4 CFTC 01/24/86 4o(1) 

FIRST NATIONAL TRADING CORPORATION 

90-28 CFTC COMPLAINT FILED 

FIRST NATIONAL TRADING CORPORATION 

92-17 CFTC 08/24/93 4f(2) 

4c(b) 

1.17(a) 1.12(a) 1.18(a) 1.10(d) 33.10 166.3 

FIRST NEW YORK COMMODITY OPTIONS, LTD. 

77-5 CFTC 02/10/78 4c(b) 

4o(1) 4o(2) 

32.9 

FIRST NEW YORK INVESTORS CORPORATION 

78-907 D NJ 07/20/80 4c(b) 32.5 

32.9 

PERMANENT INJUNCTI

FIRST OPTIONS OF CHICAGO, INC. 

99-3 CFTC 1/27/00 4g 1.35(a) 

1.35(a)(1) 

COMMISSION ORDER 

112
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FIRST PULLEN COMMODITY SERVICES 

89-20 CFTC 03/20/90 4d(2) 

4f(2) 6(b) 

1.10(d) 1.17(a) 1.20(a) 

FIRST REGAL COMMODITIES INCORPORATED 

78-1335 SD FL 04/20/79 4c(b) 1.31 

32.6 3.27 

PERMANENT INJUNCTI

FIRST REGAL COMMODITIES INCORPORATED 

79-37 CFTC 05/22/85 4(b) 1.31 

32.6 32.7 

FIRST REPUBLIC FINANCIAL CORP. FIRST REPUBLIC TRADING CORP. 

94-14 CFTC 08/19/99 

FIRST REPUBLIC FINANCIAL CORP. fka VANCORP FINANCIAL SERVICES 

94-14 CFTC 2/28/03 COMMISSION ORDER 

FIRST REPUBLIC TRADING CORP. aka CMW 

94-14 CFTC 2/28/03 COMMISSION ORDER 

FIRST UNION TRUST CORPORATION 

86-72878DT ED MI 08/18/87 4(a) PERMANENT INJUNCTI

FIRST UNITED INVESTMENT CORPORATION 

79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

FIRST WALL STREET SETTLEMENT CORPORATION 

80-18 CFTC 04/01/80 4g(1) 1.35(a) 

1.31(a) 

FIRST WEST TRADING, INC. 01-14 CFTC 1/20/2004 9(a)(4) 33.9 COMMISSION ORDER 

113
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

6(c) 6(d) 

FIRST WORTHINGTON FINANCIAL CORPORATION 

81-2250-W WD TN 06/10/81 4 

4H 4b(A) 4b(C) 4o(1) 

PERMANENT INJUNCTI

FIRTH, VINCENT J. 04CV1512 D NJ 4/1/2004 STATUTORY 

RESTRAINING ORDER 

FISCHER, ALEXANDER 78-20 CFTC 06/07/78 6(b) FISHBACK, DONALD JR. 01-03 CFTC 11/16/00 4c(b) 

4o(1) 

33.10 4.41(a) 4.41(b)(1)(i) 8a(3) 8a(4) 

COMPLAINT FILED 

FISHBERG, SAM 80-32 CFTC 12/02/85 4c(a) 1.38 

FISHER, HAIG 86-6 CFTC 02/26/93 4b(A) 

166.3 

FISHER, MARK B. 93-2 CFTC 3/24/04 COMMISSION ORDER 

FITC, INC. 85-1555 ND CA 03/03/86 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

FITZGERALD, LEIZA 99-1558-CIV-T-23F MD FL 07/06/99 32.9(a) 

32.9(c) 33.10(a) 33.10(c) 166.3 

COMPLAINT FILED 

FITZGERALD, RAYMOND JR. 99-1558-CIV-T-23F MD FL 07/06/99 32.9(a) 

32.9(c) 33.10(a) 33.10(c) 166.3 

COMPLAINT FILED 

114
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FLANIGAN, JOSEPH B. 00-6885 S.D. FL. 3/28/01 FINAL JUDGEMENT 

FLAVELL, BERNADETTE a/k/a BERNADETTE VIELE 

00-27 CFTC 7/11/02 4o(1)(A) 

4o(1)(B) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

FLAXMAN, STEVEN D. 79-32 CFTC 02/22/82 6(b) 

FLEISHMAN, ALAN STEVEN SD-98-1 CFTC COMPLAINT FILED 

FLEURY, GIOVANNI 03-61199 SD FL 6/20/03 STATUTORY 

RESTRAINING ORDER 

FLEYSHMAKHER, ISSAC 01-04 CFTC 11/29/00 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 

 COMPLAINT FILED 

FLOWERS, ELLEN HUNT 78-7 CFTC 07/21/81 4a 150.4 

FLOWERS, LUCIA C. 88-8 CFTC 02/11/88 4i 

6(b) 

18.04(a)(5) 18.04(d) 

FLOWERS, RICHMOND M. JR. 88-8 CFTC 02/11/88 4i 

6(b) 

18.04(a)(5) 18.04(d) 

FLYNN, JOHN J. 84-12 CFTC 05/22/85 4c(a)(A) 1.38 

115
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FLYNN, JOHN J. 87-5 CFTC 05/20/91 6(b) 

8b 

FOGAL, RONALD R. 87-14 CFTC 04/26/88 4k(1) FOLINA, TINA NOA 8:03-CV-54-T MD FL 1/13/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

FOLINO, WILLIAM ANTHONY 8:03-CV-54-T MD FL 1/13/03 PRELIMINARY 

INJUNCTION 

FOREMAN, SAMUEL H. 97 C 7061 N.D. IL. 3/24/00 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 4o(1) 

PERMANENT INJUNCTI

FOREX CAPITAL MARKETS, LLC 04-80132 SD FL 4/1/2004 4c(b) 32.9(a) & (c) PRELIMINARY 

INJUNCTION 

FORMA, JOHN 77-1822LPG SD NY 12/12/78 4c(b) 32.3(a) 

32.3(b) 32.9 

PERMANENT INJUNCTI

FORRESTER, FRANK 84-29 CFTC 05/28/85 4m(2) 1.10c 

1.10d 1.14 

FORRESTER, MICHAEL 83-3 CFTC 02/14/84 4d(2) 

4b(A) 

1.22 

116
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FOSTER, DOUGLAS 2:98CV00216J CD UT 08/18/99 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 

4.20(b) 4.20(c) 4.24 4.21(a) 

PERMANENT INJUNCTI

FOSTER, ROBERT M. 79-41 CFTC 08/31/82 4c(b) 

4c(c0 

32.11 

FOX, BRIAN D. 89-5 CFTC 10/19/90 

FOX, GEORGE JULIAN JR. 90-29 CFTC 05/30/91 4b(D) 

4c(a)(A) 4c(a)(B) 

1.38(a) 

FOX, LYTRESSE M. a/k/a LISA M. FOX 

CV-01-06907 CD CAL 9/2/2004 4(a) PERMANENT INJUNCTI

FOX, OWEN JR. 78-58 CFTC 01/29/79 

FOX, TIMOTHY SCOTT 95-6 CFTC 03/19/97 4b(a)(iii) FRAITES, JOSEPH LAWRENCE 00-26 CFTC 8/7/00 4g 1.35(a-1)(1) COMMISSION ORDER 

117
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FRALEY, JAMES M. 78-120A ND GA 01/26/78 4f 

4g 

1.17 1.18 1.32 

PERMANENT INJUNCTI

FRANGIA INTERNATIONAL, INC. 91-C3262 ND IL 12/27/91 4b(A) 

4b(B) 4o 

PERMANENT INJUNCTI

FRANK, BILL MARTIN 87-2591HAA D NJ 11/14/91 4(a) 

4b(A) 

PERMANENT INJUNCTI

FRANK, EDWARD L. 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

FRANK, RICHARD A. 84-24 CFTC 04/30/85 4a(2)(B) 1.38(a) 

118
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4i 6(b) 

150.12 18.00 18.01(a) 

FRANKLAND COMMODITIES CORP. 

78-45 CFTC 08/02/79 4f(1) 

4f(2) 4g 

1.17 1.18 1.32 

FRANKLAND COMMODITIES CORPORATION 

78-120A ND GA 01/26/78 4f 

4g 

1.17 1.18 1.32 

PERMENANT INJUNCTI

FRANKLIN THOMAS INVESTMENTS, L.P. 

1:99-CV-0967 ND GA 04/15/99 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 4n(4) 

4.20(c) 4.22 4.21 

COMPLAINT FILED 

FRANKLIN, WARREN R. 86-0032-D WD VA 06/03/86 4m 

4b 4o(1) 

PERMANENT INJUNCTI

FRECOM TECHNOLOGY CORP. d/b/a FRECOM TRADERS GROUP; FRECOM CURRENCY TRADERS 

CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

FREDERICK, DAVID 83-1591EBD SD FL 02/07/86 4b 

4o(1) 

 PERMANENT INJUNCTI

FREDERICKS, GARY 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

FREDRICKS, GARY 98-CIV-1365 SD NY 03/03/98 PRELIMINARY 

INJUNCTION 

FREE STAR CAPITAL, INC. 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

FREEBURG, MICHAEL SD-92-5 CFTC 09/29/92 8a(3)(M) 

119
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FREEDMAN, LEONARD IRWIN 76-928 SD NY 03/03/76 4c(b) 30.01 PERMANENT INJUNCTI

FREEHLING & COMPANY 85-36 CFTC 04/02/86 4f(1) 21.02 

FREMER, CHARLES 04-80132 SD FL 2/10/2004 4c(b) 32.9(a) & (c) STATUTORY 

RESTRAINING ORDER 

FRIEDLANDER CAPITAL MANAGEMENT CORPORATION 

03 CV 8319 SD NY 10/21/03 COMPLAINT FILED 

FRIEDLANDER, BURTON G. 03 CV 8319 SD NY 10/21/03 COMPLAINT FILED 

FRIEDMAN, ALLAN M. 80-27 CFTC 02/27/87 4b 

4h 4k 

FRIEDMAN, DOUGLAS M. 90-14 CFTC 10/30/91 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

FRIEDMAN, DOUGLAS MARC SD-94-1 CFTC 10/25/93 

FRIEDMAN, HOWARD 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(a) 1.14(a) 1.14(d) 

FRIEDMAN, RAY E. 90-21 CFTC 03/04/92 4a 

4g(1) 

1.31 1.35 

FRIEDMAN, ROBERT SD-94-16 CFTC 09/02/94 8a(3)(D) 

8a(2)(A) 8a(3)(A) 8a(3)(M) 

FRIEDMAN, ROBERT I. 83-60 CFTC 12/07/83 

FRIEDMAN, ROBERT I. 84-11 CFTC 06/20/84 4c(a)(A) 1.38(a) 

120
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FRIEDMAN, S. DAVID 98CIV2908 SD NY 05/07/98 4b(a)(i) 

4o(1) 9(a)(1) 4m(1) 

PERMANENT INJUNCTI

FRITH, ROBERT E. JR. 97-14 CFTC 08/13/97 4o(1) 

4k(3) 

166.3 

FRITTS, J. GARY 94-12 CFTC 11/02/94 4b(a)(i) 

4b(a)(ii) 4m 4n(3)(A) 4o(i) 9(a)(1) 

1.31 4.20(a) 4.20(b) 4.20(c) 4.23 

FRPM INVESTMENTS C.V. 90-30 CFTC 03/12/91 4i 

6(b) 

18.04 

FSI FUTURES INC. 95-8 CFTC 01/08/98 4o(1)(A) 1.46 

166.3 

FSI FUTURES INC. 95-9 CFTC 01/08/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

1.46 166.3 

FSI FUTURES, INC. 85-37 CFTC 04/29/86 4f(1) 21.02 

FTI FINANCIAL GROUP 97C7061 N.D. IL. 3/24/00 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 4o(1) 

PERMANENT INJUNCTI

121
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FUGITT, B. GENE 80-2082 WD TN 04/23/82 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

FUHRMAN, MARK E. 89-14 CFTC 08/02/89 4b(A) 

4c(a)(A) 

1.38(a) 

FULLER, KENNETH S. 78-10 CFTC 01/27/81 4g 1.35 

FURLETT, NORMAN K. 89-1 CFTC 08/11/92 4b(A) 

4b(C) 4g 

1.38 1.35(a-1)(2) 1.31(a) 

FURST, ROBERT D. JR. 89-5 CFTC 10/19/90 

FUTURE SOURCE INFORMATION SYSTEMS 

95-6221 SD FL 06/20/96 COMPLAINT FILED 

FUTURE SOURCE INFORMATION SYSTEMS, INC. 

96-6 CFTC 06/20/96 4b(a)(i) 

4m(1) 4o(1)(A) 4o(1)(B) 

4.41(a)(1) 4.41(a)(2) 

FUTURES EXCHANGE COMPANY, INC. 

3-02CV-0951G ND TX 5/6/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 4k(3) 

 COMPLAINT FILED 

FUTURES PROFIT MAKING, LLC 00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4n(4) 

4.20(c) 4.22 4.21 

PRELIMINARY INJUNCTION 

122
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FUTUREWISE TRADING GROUP, INC. 

02-40041 ED MI 3/10/03 4b(a)(i)-(iii) 

4g(a) 

1.31 1.35 4.14(a)(9) 

PERMANENT INJUNCTI

FUTUREWISE TRADING GROUP, INC. 

SD 03-06 CFTC 1/13/2004 ALJ INITIAL DECISION 

FUZZY GROUP, INC. (THE) 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

FX 500, INC. 04C 5853 ND IL 9/10/2004 STATUTORY 

RESTRAINING ORDER 

FX ADVISORS EAST, LLC SACV02-173 CD CA 2/28/02 4b(a)(i) 

4b(a)(iii) 4(a) 

1.1(b)(1) COMPLAINT FILED 

FX ADVISORS PACIFIC, LLC SACV02-173 CD CA 2/28/02 4b(a)(i) 

4b(a)(iii) 4(a) 

1.1(b)(1) COMPLAINT FILED 

FX ADVISORS, LLC SACV02-173 CD CA 2/28/02 4b(a)(i) 

4b(a)(iii) 4(a) 

1.1(b)(1) COMPLAINT FILED 

FX FIRST, INC. SACV 03-1454-JVS CD CAL 10/15/03 4b(a)(2)(i) & 

(iii) 4f(b) 

1.17(a)(1) & (4) PRELIMINARY 

INJUNCTION 

FX FIRST, INC. SD 04-01 CFTC 5/4/2004 ALJ INITIAL DECISION 

FxTRADE FINANCIAL, LLC 04-2181 WD TN 3/17/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

G & C INTERNATIONAL, LTD. 91-C3262 CFTC 12/27/91 4b(A) 

4b(B) 4o 

PERMANENT INJUNCTI

123
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

G & C INVESTMENTS, LTD. 91-C3262 ND IL 12/27/91 4b(A) 

4b(B) 4o 

PERMANENT INJUNCTI

G. HAWKER & STONE, LLC 2:03 CV-0260 D UT 10/20/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1)-(3) PERMANENT INJUNCTI

G. STEWART AND ASSOCIATES, INC. 

78-43 ND IL 08/03/78 

G.H. MILLER AND COMPANY 84-41 CFTC 04/18/85 4b 

4g 

1.31 166.3 

GABER, DAVID DICKSON SD-91-1 CFTC 01/15/91 

GABRIEL BROKERAGE, INC. 83-8049RLC SD NY 10/16/84 4d(2) 1.20(a) PERMANENT INJUNCTI

GAFFNEY, JOHN K. SD-91-2 CFTC 03/06/91 

124
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GAHMA CORPORATION 1:02CV00101 D UT 2/6/03 4b(a)(i)-(iii) 

4o(1) 4m(1) 

4.21 4.14(a)(9) 

PRELIMINARY INJUNCTION 

GALE, PATRICIA 96-74525 ED MI 09/30/96 4b(a)(i) 

4b(a)(ii) 4m 4k(2) 4o(1)(B) 9(a)(1) 4n(4) 

4.20(c) 4.21(a) 4.21(b) 4.22 

COMPLAINT FILED 

GALE, WILLIAM ALAN 94-16 CFTC 08/12/94 4b(a)(i) 

4c(b) 

33.10 

GALGANO, THOMAS S. 85-23 CFTC 05/30/86 4b(A) 

4c(b) 4o(1) 

4.41(a) 33.3(a) 33.10(a) 33.10(c) 4.31 4.41(b) 

GALLIGANO, MICHAEL A. 83-48 CFTC 03/14/84 4b 

4n 4o 

4.20 4.21 4.22 4.23 

GALLIGANO, MICHAEL A. 84-4181MRP CD CA 06/06/84 4b 

4n 4o 

4.21 4.22 4.20 4.23 

PERMANENT INJUNCTI

GALLNER, ROBERT 8406717 SD FL 09/12/84 RESTRAINING ORDER 

GAMBER GRAIN 85-38 CFTC 06/25/87 21.02 

GANDOLFO, JOHN P. 93-2 CFTC 03/07/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

GANGEMI, PAUL J. 97-14 CFTC 08/13/97 4o(1) 166.3 

125
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GANNON, JAMES P. III 92-18 CFTC 07/27/92 4b(A) 

4c(b) 9(a) 

33.10(a) 166.2 

GARBE, ULRICH a/k/a ULI GARBE 

01-8329 SD FL 1/10/03 DEFAULT ORDER 

GARBER, MICHAEL ALAN 03-24 CFTC 9/8/03 4c(a)(A) & 

(B) 

1.38 COMMISSION ORDER 

GARCIA, ANTHONY 1:01-cv-1107 ND GA 3/27/03 4c(b) 32.9 

32.5 32.11 33.3 32.8 

PERMANENT INJUNCTI

GARCIA, BERTHA 86-26 CFTC 07/25/86 9(a) GARFIELD SUN HING BULLION 92-9 CFTC 12/09/91 4(a) GARFIELD SUN HING BULLION LIMITED 

90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

GARRETT, JOHN 1:02CV00101 D UT 2/6/03 4b(a)(i)-(iii) 

4o(1) 4m(1) 

4.21 4.14(a)(9) 

PRELIMINARY INJUNCTION 

126
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GARRETT, JOHN 2:04CV00804 BSJ D UT 9/1/2004 COMPLAINT FILED 

GARRITY, JAMES MICHAEL 95-6 CFTC 03/19/97 4b(a)(i) 

4b(a)(iii) 4g(a) 

1.31(a)(1) 1.35(a) 

GARY BRUCE ANDERSON TRUST 

95-C-5422 ND IL 09/22/95 4b(a)(i) 

4b(a)(ii) 4d(1) 4d(2) 4m(1) 4o(1) 9(a)(1) 

RESTRAINING ORDER 

GASSER, HENRY 89-27 CFTC 01/16/92 4c(a)(A) 

4c(a)(B) 

1.38 

GATH, DANIEL MICHAEL SD-94-12 CFC 08/20/96 

GCC TRANSFER CORP. 89-11 CFTC 12/19/89 1.31 GEARTNER, STEPHEN 82-2062 SD FL 01/25/84 4o(1) PERMANENT INJUNCTIGEARTNER, STEPHEN 84-19 CFTC 01/10/84 4o(1) GEISSLER, ROGER 79-27 CFTC 03/10/81 4b(D) 1.38 

1.39 

GELBSTEIN, STEVEN 92-21 CFTC 02/25/98 4c(a)(A) 

4c(a)(B) 4g(1) 

1.31(a) 1.35(a) 1.38(a) 

GELDERMANN, INC. 88-17 CFTC 06/07/88 4g 

4i 

17.00 17.01 17.02 

127
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GELDERMANN, INC. 94-13 CFTC 11/10/98 4c(a)(A) 1.38 

166.3 

GENESIS INVESTMENTS CORPORATION 

86-H-4366 SD TX 03/09/87 4(a) 

4b(A) 

PERMANENT INJUNCTI

GENOVESE, FRANK JR. 79-26 CFTC 01/06/82 4c(b) 32.5 GENOVESE, FRANK JR. 79-53 CFTC 07/17/79 

GENOVESE, FRANK JR. 86-35 CFTC 04/22/87 4b(A) 

4o(1) 

4.41(a) 

GENOVESE, KAREN T. 83-5909WK SD NY 02/19/85 4b(A) 

4o(1) 

4.41(a) PERMANENT INJUNCTI

GENOVESE, KAREN T. 86-35 CFTC 04/22/87 4b(A) 

4o(1) 

4.41(a) 

GENT, J. MICHAEL 97-CIV-3119 SD NY 10/13/98 

GERAGHTY, JOHN J. 86-36 CFTC 03/27/87 4b(A) 1.56(c) 

30.02 166.3 

GERAGHTY, JOSEPH M. SD-96-9 CFTC 08/07/96 8a(3)(E) GERALD, INC. 91-3 CFTC 10/16/92 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 4g 

1.35(a-1)(2) 1.35(a-1)(4) 1.38(a) 166.3 

GERALD, INC. 93-4 CFTC 02/17/93 4f(1) 

4f(2) 

1.10(d) 1.17(a) 1.17(d) 1.56(b)(3) 

128
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GERDES, HERMAN 98-4 CFTC 11/25/03 4(a) COMMISSION ORDER 

GERSTENBERG AND COMPANY, INC. 

83-3 CFTC 02/14/84 4d(2) 

4b(A) 

1.22 

GERVAIS, RAINALD A. 82-42 CFTC 04/12/84 4k(1) 

4d(2) 4f(1) 4f(2) 4g(1) 

1.10(b) 1.12 1.17(a)(1) 1.20(a) 1.23 1.32 1.33 1.35(a) 

GETSON, PHILIP M. 84-20 CFTC 01/30/87 4b(B) 

4e 

GHOLSON, BARRY D. 87-9 CFTC 04/15/87 4b 

4o 4m 

GHUN, HAK 81-13 CFTC 06/13/86 4b(A) 

4o(1) 

4.21(a) 4.21(b0 4.31(a) 4.31(b) 

GIANOS, THOMAS 94-13 CFTC 7/15/2004 4c(a)(1) 1.38(a) COMMISSION ORDER 

GIARLETTA, PAUL A. 91-7 CFTC 06/25/92 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

GIARRITANO, JOSEPH SD-86-3 CFTC 08/07/86 8a(3)(J) 

GIBRALTAR MONETARY CORPORATION 

04-80132 SD FL 2/10/2004 4c(b) 32.9(a) & (c) STATUTORY 

RESTRAINING ORDER 

GIBSON, DAVID 99-14 CFTC 08/09/99 4d(2) 

4g 6(c) 

1.10 1.18 1.20(a) 1.20(c) 1.31 1.32 1.33 

129
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

166.3 

GILCHRIST, CHARLES E. 83-58 CFTC 01/25/91 4c(a)(B) 1.38 

GILKESON, CLARENCE V. 80-22 CFTC 10/21/83 4b GILLEN, KENNETH N. 89-15 CFTC 08/02/89 4b(A) 

4c(a)(A) 

1.38(a) 

GILLIAM, PETER M. 89-11 CFTC 4 

4b(A) 4b(B) 4b(C) 4b(D) 4h 

GILLIS, ARTHUR 81-24 CFTC 10/28/81 4a(2)(B) 

4i 6(b) 

150.10 18.04 

GIMBEL, STUART N. 84-20 CFTC 04/10/89 4c(a)(A) 

4i 6(b) 

1.38(a) 18.00 18.01(a) 18.04(c) 

GIOVANNI FLEURY INVESTMENTS, INC. 

03-61199 SD FL 6/20/03 STATUTORY 

RESTRAINING ORDER 

GIRARD, RAYMOND C. E. 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

GLADSTONE, ALFRED A.L. 01-24 CFTC 3/20/02 4c(b) 33.10 COMMISSION ORDER 

GLASE, JOHN 1:04CV1403 ND OH 7/22/2004 COMPLAINT FILED 

130
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GLASS, BRADLEY 82-16 CFTC 03/25/82 4 

4h 4c(b) 4c(c) 4m 

32.11 166.3 

GLASS, BRADLEY 82-6203 SD FL 04/15/82 4c(b) 

4c(c) 

32.11 166.3 

PERMANENT INJUNCTI

GLASS, GARY 80-28 CFTC 04/18/91 4c(a)(A) 

4c(a)(B) 4b 4d 4g 

1.35 1.38(a) 

GLASS, GARY 80-31 CFTC 04/18/91 

GLASS, GARY 80-32 CFTC 08/22/86 4c(a) 

4b(D) 

1.38 

GLASS, GARY 93-4 CFTC 04/27/98 4c(a)(A) 

4c(a)(B) 4g(1) 

1.38(a) 1.31(a) 1.35(a) 

GLASSMAN, RICK 79-3558 SD FL 02/12/85 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

GLATTER, JOSEPH 79-3371 SD NY 10/22/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

GLAZER, STANLEY 85-6936 SD FL 01/24/86 4c(b) 

4c(c) 

33.3(a) 32.11(a) 33.10 32.9 33.3(b)(1) 33.7(b) 33.7(a) 

PERMANENT INJUNCTI

GLENN W. CAAN, INC. 86-21 CFTC 11/10/87 4b(A) 

131
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GLOBAL ATLANTIC MANAGEMENT, INC. dba WORLDWIDE FOREX, INC. and WORLDWIDE COMMODITY CORP. 

04-60797 SD FL 6/21/2004 STATUTORY 

RESTRAINING ORDER 

GLOBAL BULLION 92-259 ED NY 03/05/93 4(a) 

4b(A) 4d(1) 

PERMANENT INJUNCTI

GLOBAL CAPITAL INVESTMENT LLC 

02-07 CFTC 2/27/02 4(a) 

4c(b) 

32.11 33.3 

COMMISSION ORDER 

GLOBAL CURRENCIES, LTD. 97-13 CFTC 2/8/00 4(a) 

4b(a)(i) 4b(a)(ii) 4b(a)(iv) 4d(2) 4k(1) 9(a)(1) 

1.20 3.12(a) 

ALJ ORDER 

GLOBAL EQUITY MANAGEMENT GROUP, LLC 

SACV02-173 CD CA 3/7/02 4b(a)(i) 

4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

GLOBAL FINANCIAL CONSULTING, INC. 

1:02CV2394 ND GA 8/28/02 EX PARTE STATUTORY 

RESTRAINING ORDER 

GLOBAL FINANCIAL CONSULTS INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

GLOBAL FUTURES EXCHANGE & TRADING CO. 

00-14 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 

COMMISSION ORDER 

GLOBAL INTERBANK, INC. 03-767 FMC CD CAL 1/28/2004 4b(a); 4(a) 1.1(b) PERMANENT INJUNCTI

132
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GLOBAL LINK MIAMI CORPORATION 

98-1 CFTC 05/24/99 4(a) 

4b(a)(iv) 4b(a)(i) 

GLOBAL MANAGEMENT GROUP CV 03 1826 PHX D AZ 9/18/03 4b(a) PRELIMINARY 

INJUNCTION 

GLOBAL MINERALS & METALS CORP. 

99-11 CFTC 6/22/2004 COMMISSION ORDER 

GLOBAL TELECOM, INC. 01-18 CFTC 1/17/03 4b(a)(i) & 

(iii) 4b 4o(1) 6(c) 

4.41(a) ALJ ORDER 

GLOBALMARK CORPORATION 97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

GLOBEX BULLION & FINANCIAL SERVICES CORP. 

97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

133
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GLORY FUND I, INC. 96-10421 I 11/05/97 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.20(c) 4.41(a) 

PERMANENT INJUNCTI

GLORY FUND L.L.C. 96-10421 I 11/05/97 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.20(c) 4.41(a) 

PERMANENT INJUNCTI

GLOVER, THOMAS II 00-35 CFTC 7/8/02 4c(b) 33.10 ALJ ORDER 

GLOWATZ, MARK 89-11 CFTC 12/19/89 4 

4(a) 4b(A) 4b(B) 4b(C) 4b(D) 4c(a)(A) 4g(1) 4h 

1.35(a-1) 1.38 166.3 

GNAIZDA, DAVID 84-30 CFTC 02/12/85 4b 

GNOME INVESTMENTS, LTD. 79-828 D AZ 05/18/81 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

GNP COMMODITIES, INC. 89-1 CFTC 08/11/92 4b(A) 

4b(C) 4g 

166.3 1.38 1.35(a-1)(2) 1.31(a) 

GNP COMMODITIES, INC. 92-13 CFTC 12/17/91 4c(b) 33.10 

166.3 

GNP COMMODITIES, INC. 92-14 CFTC 01/31/92 4b(A) 

4c(b) 4g 

1.31(a)(2) 1.35(a) 33.10(a) 166.2 166.3 

GOBERSTEIN, HOWARD J. 90-17 CFTC 08/21/90 4b(A) 

4c(a)(B) 

1.38(a) 

134
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GODRES, ROSS R. 99-13 CFTC 06/24/99 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.13(b)(2)(i) 

GOLD INTERNATIONAL, INC. 79-1406 SD FL 10/23/85 4c(b) 

4c(c) 

32.11 32.9 32.3 

PERMANENT INJUNCTI

GOLD, GEALD 79-1085 ND TX 07/03/79 4c(c) 

4c(b) 

32.6 32.9 32.11 

RESTRAINING ORDER 

GOLD, GERALD 84-26 CFTC 03/15/84 4c(b) 

4c(c) 

32.11 

GOLD, PHILLIP H. 79-1406 SD FL 10/23/85 4c(b) 

4c(c) 

32.11 32.9 32.3 

PERMANENT INJUNCTI

GOLD, PHILLIP H. 84-33 CFTC 05/07/84 GOLD, PHILLIP H. 85-1 CFTC 05/21/85 4b(A) 

4o(1) 

GOLDBERG, MICHAEL J. 3-93-0975 MD TN 01/10/95 4b(a)(i) 

4o(1) 9(a)(1) 4m(1) 

 PERMANENT INJUNCTI

GOLDBLATT, DAVID M. 85-50 CFTC 02/27/87 4d(1) 

4m 

1.7 4.20 166.3 

GOLDENBERG, ALAN SD-85-8 CFTC 06/07/85 

GOLDER, GERALD DAVID 89-23 CFTC 05/04/90 4c(b) 33.7(f) 

33.10 166.3 

GOLDEX INTERNATIONAL LIMITED 

79-1436 ND IL 12/08/80 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

GOLDEX INVESTMENT, INC. 90-3034 ND CA 09/10/91 4(a) 

13(a) 4b(A) 4b(B) 

PERMANENT INJUNCTI

GOLDINGER, S. JAY 99-11543 WMB C.D. CAL. 11/12/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4g 4o(1) 

33.10(a) 33.10(b) 33.10(c) 1.35(a-1)(1) 

PERMANENT INJUNCTI

GOLDMAN, OSCAR 03-3265 CD CAL 5/9/03 4b(a)(2)(i) & COMPLAINT FILED 

135
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

(iii) 4o(1) 

GOLDMAN, SALLYE E. 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

GOLDSCHMIDT, ALLEN M. 77-2678EW SD NY 05/19/78 4c(b) 

4k 4o(1) 

30.01 32.3 32.8 

PERMANENT INJUNCTI

GOLDSTAR PETRO-AMERICA 91-3289 ED PA 09/03/91 4d 33.3 PERMANENT INJUNCTI

GOLDSTEIN, DANIEL 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

GOLDSTEIN, HAROLD D. 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

GOLDSTEIN, MICHAEL 80-315 SD FL 05/29/81 4o(1) PERMANENT INJUNCTI

GOLEMBESKI, ROBERT W. 84-1 CFTC 02/13/85 1.10d 

1.14 

GOLLIN, LAWRENCE JEROME 88-6958 SD FL 10/11/89 4c(b) 

6(b) 4f 4k 

33.7(f) 33.10 166.2 3.15 3.31 3.12(a) 166.3 33.7(d) 

PERMANENT INJUNCTIO

GOLLIN, LAWRENCE JEROME 89-21 CFTC 09/13/89 4c(b) 

4f 

3.12(a) 3.15 

136
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k 6(b) 

3.31 33.7(d) 33.10 166.3 

GOLUBOWSKI, DENNIS J. 92-7158 SD FL 08/09/94 4m 

4o 4d(1) 4k(1) 4k(2) 4b(i) 4b(ii) 4c(b) 

4.13 3.12 33.10 4.21 

PERMANENT INJUNCTI

GOMEZ, JUAN CARLOS 02-60769 SD FL 8/31/2004 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

GOMEZ, OSCAR 81-2250-W WD TN 05/06/86 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

GONDAY, RICHARD G. 79-2087 D DC 10/29/79 4m 

4n(3)(A) 4o(1) 

4.21 4.23 

PERMANENT INJUNCTI

GONG, TOM HUIFENG 01-01 CFTC 7/25/03 166.3 ALJ INITIAL DECISION 

GOODMAN, MARVIN J. 91-6186 SD FL 09/27/91 4m 

4o 4d(1) 4b 4c(b) 

4.13 33.10 

PRELIMINARY INJUNCTION 

GOODMAN-MANASTER & COMPANY 

84-45 CFTC 10/16/84 4d(1) 

GOODMAN-MANASTER & 85-50 CFTC 09/30/85 4g 1.35 

137
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COMPANY 166.3 GOOSSEN, JERRY SD-86-1 CFTC 12/30/86 GORDON, KEITH R. 90-19 CFTC 03/06/95 4c(b) 

GORDON, LEROY 79-38 CFTC 06/26/79 4f(1) 1.10(a) 

GORDON, SCOTT D. 78-1692 SD FL 05/25/81 4c(b) 32.9 PERMANENT INJUNCTIGORDON, SCOTT D. 81-11 CFTC 05/22/81 4c(b) 32.9 GORDON, SIDNEY S. 78-51 CFTC 12/07/78 6(b) GORECKI, MICHAEL 78-61 CFTC 11/29/78 

GOREN, STEVEN R. 78-4 CFTC 02/16/79 

GORMLEY, JOHN J. 89-3 CFTC 11/10/88 4c(a) 1.38(a) 

GOROS, LLC 1:040v0016 ND OH 1/5/2004 COMPLAINT FILED 

GORSKI, CHESTER 93-5 CFTC 08/23/99 

GOTTA, MICHAEL EZIO 84-6495-JE SD FL 07/01/85 4n(3)(A) 1.31 

4.23 4.32 

PERMANENT INJUNCTI

GOTTSCH, ROBERT G. 82-44 CFTC 01/23/86 4k 166.3 GOURLAY WOLFF & CO., LTD. 89-4242 CD CA 01/04/90 4c(b) 

4d(1) 

32.11(a) 33.3(b) 

PERMANENT INJUNCTI

GOURLAY WOLFF & CO., LTD. 92-1 CFTC 09/29/92 4c(b) 

4d(1) 6(b) 

1.55 30.3(a) 30.4(b) 30.6 33.3(b) 33.7 

GOURLAY WOLFF FUTURES LTD. DUBLIN 

92-1 CFTC 10/22/92 4.21 

30.3(a) 30.4(c) 30.6 

GOURLAY WOLFF FUTURES, LTD. 

89-4242 CD CA 01/04/90 4c(b) 

4d(1) 

32.11(a) 33.3(b) 

PERMANENT INJUNCTI

138
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GOURLAY WOLFF FUTURES, LTD. 

92-1 CFTC 09/29/92 4c(b) 

4d(1) 6(b) 

1.55 30.3(a) 30.4(b) 30.6 33.3(b) 33.7 

GRABARNICK, LAWRENCE 78-1069 SD FL 04/08/82 4c(b) 

4o(1) 

32.9 PERMANENT INJUNCTI

GRABARNICK, PHILIP GENE 78-1069 SD FL 04/08/82 4c(b) 

4o(1) 

32.9 PERMANENT INJUNCTI

GRABARNICK, PHILIP GENE 83-43 CFTC 01/14/97 4b 

4o 

4.21 

GRACE, GERRY 85-6705 SD FL 09/30/85 4(a) 

4b(A) 4b(C) 

 PERMANENT INJUNCTI

GRAEBER, JAMES C. SD-97-2 CFTC 02/27/97 8a(3)(E) 

8a(3)(D) 

GRAF, KARL HEINZ 91-C3262 ND IL 12/27/91 4b(A) 

4b(B) 4o 

PERMANENT INJUNCTI

GRAHAM, MICHAEL GEORGE SD-95-19 CFTC 07/17/95 

GRAINLAND COOPERATIVE 97-1 CFTC 11/25/03 COMMISSION ORDER GRAMER, GEORGE W. 79-1085 ND TX 04/24/84 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

GRAMER, GEORGE W. 84-36 CFTC 04/20/84 4c(b) 

4c(c) 

32.11 

GRAND CAPITAL COMMODITY, INC. 

94-1162-A ED VA 05/26/95 4(a) 

4(d)(1) 4b(a) 9(a)(1) 

PERMANENT INJUNCTI

139
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GRANDVIEW HOLDINGS CORP. 95-9 CFTC 01/08/98 4b(a)(i) 

4b(a)(ii) 4b(a)(ii) 

166.3 

GRANT, PAUL R. 2-02 CV-432 D UT 5/2/02 4b(a)(i) 

4b(a)(iii) 4(a) 

 COMPLAINT FILED 

GRANT, ROBERT L. 84-45 CFTC 09/27/85 4k(1) 3.12(a) 

GRANT, STEVEN LONDON 80-835 D GA 09/14/81 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

GRAVENSTEIN DIVERSIFIED, INC. 

85-1555 ND CA 03/03/86 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

GRAVITT, JOHN LEE SD-98-7 CFTC 06/02/99 8a(3)(M) GRAY, SAM 2:98CV00216J C.D. UT 5/22/00 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 

4.20(b) 4.20(c) 4.24(a) 4.21(a) 

PERMANENT INJUNCTI

GRAYSTONE BROWNE FINANCIAL, INC. 

04-21346 SD FL 6/7/2004 COMPLAINT FILED 

GREAT AMERICAN COMMODITIES, INC. 

88-30 CFTC 11/21/89 4c(b) 33.10 

33.7(d) 166.2 166.3 

GREAT MINISTER GROUP, INC. (THE) 

02-61160 SD FL 9/27/02 4b(a) 

4c(b) 4(a) 

1.1(b) 32.9 32.11 33.3 

PRELIMINARY INJUNCTION 

GREAT PLAINS CO-OP 98-4 CFTC 11/25/03 4(a) COMMISSION ORDER 

GREEN TREE INVESTMENT CLUB 

92-1676 CD CA 12/19/94 4m 4.21(a) PERMANENT INJUNCTI

GREEN, DAVID 84-6717 SD FL 12/04/84 4(a) PERMANT INJUNCTION 

GREEN, DAVID 99-1 CFTC 12/07/98 4o(1)(B) 4.20(c) 

140
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4m(1) 4.21 

4.22 

GREENBAUM JAMES D. 82-6850NCR SD FL 01/11/84 4d(2) 

4f(2) 4g(1) 

1.20(a) 1.17(a) 1.31 1.32 1.25 1.26 1.28 

PERMANENT INJUNCTI

GREENBAUM, JAMES 81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

GREENBAUM, JAMES D. 82-3 CFTC 11/20/81 4 

4h 4b 4c(b) 4c(c) 4m 4o(1) 

32.11 32.9 

GREENBERG, BOB 80-0689 SD NY 06/24/82 4 

4h 

PERMANENT INJUNCTI

GREENBERG, DAVID S. SD-88-3 CFTC 04/22/88 GREENBERG, GARY 80-28 CFTC 04/18/91 4c(a)(A) 

4c(a)(B) 4b 4b(D) 4g 

1.35 1.38(a) 

GREENBERG, GARY 80-30 CFTC 06/23/87 4c(a) 1.38(a) 

GREENBERG, GARY 80-31 CFTC 04/18/91 GREENBERG, ROBERT 81-CA12 WD TX 02/22/89 4c(b) 

4c(c) 

32.9 PERMANENT INJUNCTI

141
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4m 

GREENBERG, ROBERT A. 82-14 CFTC 12/17/85 4 

4b 

GREENBERG, ROBERT A. 82-28 CFTC 12/17/85 GREENE, ARNOLD 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

GREENFIELD, ESTHER LANDER 89-11 CFTC 11/27/90 4 

4(a) 4b(A) 4b(B) 4b(C) 4b(D) 4c(a)(A) 4g(1) 4h(2) 4h 

1.35(a-1) 1.38 

GREENFIELD, MICHAEL J. 93-14 CFTC 12/14/93 4c(a)(A) 1.38(a) 

GREENSPON, IRA P. 89-1 CFTC 05/25/90 4b(A) 

4b(C) 4g(1) 

1.35(a) 1.38 1.35(a-1)(2) 1.31(a) 

GREENSTEIN, MARC 02-09 CFTC 6/12/03 4c(a)(1) 1.38 COMMISSION ORDER GREENSTEIN, MARC B. 89-2 CFTC 1/10/88 4g 1.35(a) 

1.31(a) 

GREENSTEIN, MARK 02-09 CFTC 7/23/02 4c(a)(1) 1.38 COMMISSION ORDER 

142
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GREER, RONALD E. 77-10 CFTC 03/07/85 4c(b) 32.9 GREER, RONALD E. 78-50 CFTC 06/02/78 

GREER, RONALD E. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.3(b) 32.6 32.7 

PERMANENT INJUNCTI

GRIECO N.V. 90-30 CFTC 03/12/91 4i 

6(b) 

18.04 

GRIFFIN, ROBERT J. 89-5 CFTC 03/24/93 4(g) 1.31 

1.35(a) 

GRIFFIN, SHERALD 98-12 CFTC 04/09/98 14.8(c) 

GRIMSRUD, JAMES 88-3 CFTC 11/17/87 4k(1) 1.56(c) 

3.12(a) 

GROOVER, RICHARD C. 79-5 CFTC 01/12/79 4b(D) GROSS, MILTON J. 87-6895G SD FL 11/19/87 4(a) 

4b(A) 

PERMANENT INJUNCTI

GROSSFELD, KENNETH R. 87-3 CFTC 12/17/86 4b(A) 166.2 

166.3 

GROSSFELD, KENNETH R. 89-23 CFTC 12/10/96 

GROSSMAN, AARON T. 83-36 CFTC 12/29/83 

GROSSO, GEORGE 80-29 CFTC 12/02/86 4b 

4c(a) 

1.38 

143
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

GROVES, JAMES WARREN SD-80-1 CFTC 12/14/81 

GRUBERG, STEVEN MARK 79-50 CFTC 12/28/79 6(b) GRUNFELD, JOSEPH A. 03 CV 9124 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

GU, ZIANPIN 93-0088 ED NY 12/06/94 4(a) 

4b(A) 

PERMANENT INJUNCTI

GUALLINI, PAUL H. 84-22 CFTC 01/08/85 4e GUARINO, NICHOLAS A., JR. 03-2193 D KS 4/22/03 4o(1)(A) & 

(B) 

4.41(a) STATUTORY 

RESTRAINING ORDER 

GUDINO, ROBERT 03-17 CFTC 6/30/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

GUGLIARO, JOSEPH 02-13 CFTC 10/7/03 4b(a)(i-iv) 

4c(a)(1) 4g 

1.35(d) 1.38 

COMMISSION ORDER 

GULF-ATLANTIC GOLD COINS, INC. 

84-6717 SD FL 12/04/84 4(a) PERMANENT INJUNCTI

GULF-NATIONWIDE GOLD COINS, INC. 

84-6717 SD FL 12/04/84 4(a) PERMANENT INJUNCTI

GUNNELS, STEPHEN H. 78-1393 CD MA 12/29/81 4c(b) 

4g 

1.31 1.32 32.6(a) 32.6(f) 32.7(a) 32.9 

PERMANENT INJUNCTI

GUNTHER, FREDERICK A. 80-15 CFTC 09/14/82 4b 

4k 4o 

GUSTIN, SIDNEY 92-6893 SD FL 12/07/94 4m 

4o 4d(1) 

4.13 33.10 4.21 

PERMANENT INJUNCTI

144
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k(1) 4k(2) 4b(a)(i) 4b(a)(ii) 4g 4c(b) 4n(3)(A) 

1.31 

GUSTIN, SIDNEY 95-4 CFTC 02/07/95 4b(a)(i) 

4b(a)(ii) 4c(b) 4d(1) 4g 4k(1) 4k(2) 4m 4n(3)(A) 4o 

1.31 3.12 3.16 4.13 4.21 33.10 

GUTTMAN, ZOLTAN 79-47 CFTC 03/30/81 GUTTMAN, ZOLTAN 93-4 CFTC 04/27/98 4c(a)(A) 

4c(a)(B) 4g(1) 

1.38(a) 1.31(a) 1.35(a) 

HABERBUSH, ARTHUR B. 78-10 CFTC 06/26/80 4c 

HAGAN, DAVID D. 81-2250-W WD TN 01/22/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

HAGAN, LAMBERT JOSEPH SD-85-12 CFTC 09/13/85 

HALE, RICHARD A. H-03-3526 SD TX 12/17/2004 4b(a)(i)&(iii) 

4c(b) 4o(1)(A) 

33.10 4.30 

PERMANENT INJUNCTI

HALFORD, HAROLD H. 78-1692 SD FL 05/25/81 4c(b) 32.9 PERMANENT INJUNCTIHALFORD, HAROLD H. 81-11 CFTC 05/22/81 4c(b) 32.9 

HALL, LLEWELLYN CONNELL 94-4 CFTC 11/02/93 4g(a) 

6(c) 

17.01(b) 18.04(a) 

HALL, PAUL 78-55 CFTC 03/11/80 4c(b) 32.9 

32.3 32.7 32.5(a) 32.5(c) 32.8(a) 

145
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HALL, THOMAS N. 88-C-3188 ND OK 06/14/89 4b(A) 

4o(1) 4m(1) 

4.23 4.21 4.22(a) 4.22(c) 4.22(d) 4.22(e) 

PERMANENT INJUNCTI

HALPER, ROBERT S. 92-21 CFTC 12/16/92 4c(a)(A) 

4c(a)(B) 4g(1) 

1.31(a) 1.35(d) 1.38(a) 

HALPER, ROBERT S. SD-95-10 CFTC 02/22/95 HALSTEAD, GARY E. 84-0621-R ND TX 11/19/84 

04/12/85 

4d(1) 4d(2) 4k 4(a) 4b(D) 4o(1) 4n(3) 

1.20 1.31 4.32 4.31 

PERMANENT INJUNCTI

HALTMIER, ROBERT 75-2 CFTC 05/05/76 4b HAMLET, EDWARD T. 94-14 CFTC 10/28/97 4o(1)(B) HAMMER, MICHAEL 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 

1.38 COMMISSION ORDER 

HANDLER, IRA 89-3 CFTC 11/10/88 4c(a) 1.38(a) 

HANEMAN, JACK W. 86-25 CFTC 12/02/86 4b 

HANEMAN, WILLIAM F. 88-29 CFTC 03/03/89 166.3 

HANEY, LARRY 79-2778 WD TN 11/18/81 4c(b) 32.9 PERMANENT INJUNCTI

146
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(c) 32.11 

HANFORD, WILLIAM W. 83-10 CFTC 05/30/85 4e 

HANKS, JAMES MICHAEL CV-98-N-1755-S ND AL 9/28/00 4b(a)(i) 

4b(a)(iii) 4k(2) 4o(1) 

3.12(a) PERMANENT INJUNCTI

HANLEY, KEVIN MICHAEL SD-97-4 CFTC 04/08/97 8a(3)(E) 

HANNUM, DONALD R. 79-0752 CD CA 03/31/82 4b 1.7 PERMANENT INJUNCTIHANNUM, DONALD R. 80-27 CFTC 02/27/87 4b 

4d 4h 4k 8b 

1.7 

HANOVER TRADING CORP. 98-CIV-1365 SD NY 03/03/98 4(a) 

4b 

PRELIMINARY 

INJUNCTION 

HAPPEL, HORST J. 90-30 CFTC 03/12/91 4a(5) 

4c(a) 4i 6(b) 

18.04 

HARDIN, DAVID R. 77-21 CFTC 09/08/80 4b 

4c 4d 4f 4g 4k 

1.17.01 1.20 1.31 1.32 1.33 1.33(a) 1.35 1.37 

HARDWICK AND WELLS 83-19 CFTC 02/10/84 4b(A) 4.21(a) 

147
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COMMODITIES, INC. 4n(3)(A) 

4n(4) 4o(1) 

4.22(c) 4.23(a) 

HARDWICK, WELLS, AND WINTHROP, INC. 

83-19 CFTC 02/10/84 4b(A) 

4n(3)(A) 4n(4) 4o(1) 

4.21(a) 4.22(c) 4.23(a) 

HARELICK, BRIAN H. 78-44 CFTC 05/18/79 6(b) HARELIK, BRIAN H. 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

HARKER, THOMAS W. SR. 85-1482-W3 WD MO 05/16/86 4(a) PERMANENT INJUNCTI

HARLEY, STANLEY C. 00-20 CFTC 5/31/00 4m(1) 4.31(a) 

4.31(b) 

COMMISSION ORDER 

HARLOW, DAVID E. 85-5158-H SD TX 12/30/86 4b(A) 

4b(B) 4b(C) 4b(D) 4o(1) 

PERMANENT INJUNCTI

HARLOW, DAVID E. 87-8 CFTC 02/27/87 4b(A) 

4b(B) 4b(C) 4b(D) 4o(1) 

HARMON, ROBERT BENJAMIN, JR. 

03-25 CFTC 1/16/2004 4c(a)(A) & 

(B) 

1.38 COMMISSION ORDER 

HARRIGAN, MARTIN DAVID SD-93-7 CFTC 05/04/93 

HARRIS WILLIAM B. 88-18 CFTC 02/27/90 4b(A) 

4k(1) 6(b) 

166.2 4.31(a) 3.31 

HARRIS, ALLAN P. 00-15 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

HARRIS, CHARLES LEE 04C 5723 ND IL 9/15/2004 4b(a)(i)-(iii) 

4c(b) 4o(1) 4k(2) 

33.1 PRELIMINARY 

INJUNCTION 

148
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HARRIS, ROBERT O. JR. 91-3289 ED PA 09/03/91 4d 33.3 PERMANENT INJUNCTI

HARRIS, RONALD 77-4 CFTC 07/19/77 4c(b) 32.9 

HARRISON PRESCOTT, INC. 79-4313 SD NY 09/26/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

HARRISON, GEORGE R. 79-0609-H ND TX 10/18/81 4c(b) 

4c(c) 

 PERMANENT INJUNCTI

HARRISON, GEORGE R. 82-26 CFTC 09/12/84 4c(b) 

4c(c) 

32.9 32.11 

HARRISON, GEORGE R. 04-04 CFTC 11/18/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) 4.41(b)(1) & (2) 

COMMISSION ORDER 

HARRISON, RONALD W. 80-19 CFTC 03/27/81 4d(2) 

4g 13(a) 

1.20(a) 1.23 1.37 17.01 

HARRISON, STEPHEN 86-36 CFTC 09/30/86 166.3 HARTFORD FINANCIAL GROUP 98-6564 S.D. FL. 11/24/99 4f(a) 

4k(1) 4k(5) 

3.10(a)(2)(i) FINAL JUDGEMENT 

HARTZELL, RICHARD B. 85-6 CFTC 01/13/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

HARVARD INVESTMENT SERVICES, INC. 

86-31 CFTC 08/19/86 4o(1) 4.41(a) 

4.41(b) 

HARVEY B. POLLAK AND COMPANY 

80-32 CFTC 03/04/86 4c(a) 1.38 

149
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HARVEY, THOMAS J. 80-15 CFTC 10/15/80 4b 

4o 4k 4f(!) 

1.10(d) 1.14(a) 1.14(d) 

HAWKER, BRYAN KEITH 2:03 CV-0260 D UT 10/20/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1)-(3) PERMANENT INJUNCTI

HAWKINS, JIM 98-CIV-1365 SD NY 03/03/98 PRELIMINARY 

INJUNCTION 

HAYES, LESLIE L. 90-20380 ND CA 07/31/92 4m(1) 

4n(3)(A) 4o 4b(A) 4b(B) 

4.21 4.22 

PERMANENT INJUNCTI

HAYES, LOREN 00 C 7344 ND IL CONSENT ORDER 

HAYES, RICHARD C. SD-95-5 CFTC 01/03/97 HAZELCORN, HOWARD 80-30 CFTC 06/23/87 4b 

4c(a) 

1.38(a) 

HE, YING 93-0067 CD CA 04/11/94 4(a) PERMANENT INJUNCTI

HEARN, JOHN 85-3169 SD FL 10/25/85 4(a) PERMANENT INJUNCTI

HEARTLAND FUTURES FUND 92-1062-T D KS 02/11/94 4b(a)(ii) PERMANENT INJUNCTI

HEATH, V. JOYCE 88-15 CFTC 04/08/91 4b(A) 

HEFFERNAN, GEORGE CV101-141 SD GA 8/4/03 ORDER 

150
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HEFFERNAN, GEORGE CV101-141 SD GA 3/23/2004 ORDER HEFFERNAN, GEORGE a/k/a GEORGE W. MARSHALL 

4 04 23302 25 D SC 12/21/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

HEFFERNAN, GEORGE d/b/a ACCUTRADER AND ACCUTRADER DAY TRADING SCHOOL 

00-29 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a) COMMISSION ORDER 

HEFFERON, THOMAS H. JR. 77-10 CFTC 03/07/85 4c(b) 32.9 

HEINOLD COMMODITIES, INC. 80-28 CFTC 03/27/86 4g 1.37 

HEINOLD COMMODITIES, INC. 85-45 CFTC 09/27/85 4k(1) 

HEITSCHMIDT, ROGER 92-25 CFTC 11/13/95 4n(3)(A) 4.31(a) 

4.31(f)(i) 166.2 

HELFER COMMODITIES CORP., INC. 

85-39 CFTC 01/27/86 4f(1) 21.02 

HELFER, LEWIS BRIAN SD-92-1 CFTC 02/14/92 8a(3)(M) 

HELFFRICH, STUART MICHAEL SD 04-08 CFTC 9/3/2004 COMMISSION ORDER HELMICH, GERALD W. 90-30 CFTC 09/25/90 

HEMMERS, WILLIAM 80-32 CFTC 01/21/86 4b 

4c(a) 

1.38 

HEMMINGER, RALPH J. 78-6 CFTC 11/21/77 4c(a) 

151
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HEMPEL, MICHAEL R. 82-24 CFTC 02/16/83 4b 

4d(1) 4m 4o(1) 

1.7 

HENCH, NEVIN F. 80-36 CFTC 02/04/83 4b(A) 

4b(C) 4d(1) 8b 

1.7 

HENCH, NEVIN F. 88-3-98 D MN 04/07/89 4b(C) 

9(a) 4d(1) 4d(2) 8b 

PERMANENT INJUNCTI

HENCORP BECSTONE FUTURES, LC 

05-06 CFTC 12/22/2004 4c(a) 1.38(a) COMMISSION ORDER 

HENDRICK, DANIEL A. 82-2 CFTC 09/17/82 6(b) 

HENINGER, ROBERT 2:04CV00804 BSJ D UT 9/1/2004 COMPLAINT FILED HENNINGER, ROBERT 1:02CV00101 D UT 8/13/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 

4.21 4.31 

COMPLAINT FILED 

HENRIKSEN, RICHARD 91-3 CFTC 07/29/97 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

HENRY & HORNE, PLC 98-11 CFTC 10/21/98 14.8(c) 

HENRY POLLAK AND COMPANY, INC. 

80-32 CFTC 03/04/86 4c(a) 1.38 

152
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HENSHAW, REID 1:04CV1403 ND OH 7/22/2004 COMPLAINT FILED HEPPNER, ANTHONY J. 02-1783 D MN 7/19/02 STATUTORY 

RESTRAINING ORDER 

HEREDIA, JOHN C. SD-85-4 CFTC 01/30/85 HERITAGE CAPITAL ADVISORY SERVICES, LTD. 

82-C-5955 ND IL 02/10/83 4m PERMANENT INJUNCTI

HERITAGE MARKET RESEARCH, INC. 

85-1229 SD OH 08/02/85 4(a) PERMANENT INJUNCTI

HERLIHY, JOHN P. 85-50 CFTC 02/27/87 4d(1) 

4m 

1.7 4.20 166.3 

HERMANS, CARL J. 97-0777 CD CAL 06/23/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4k(2) 

4.20(a) 4.20(b) 4.20(c) 4.21 

PERMANENT INJUNCTI

HERMANSON, JOHN A. 95-10 CFTC 05/20/99 4f(b) 

6c 

1.17(a)(1) 1.17(a)(4) 1.10(d)(1) 1.12(a)(1) 1.12(a)(2) 1.12(b) 

HERNANDEZ, JOSE 88-2185 SD FL 01/25/90 4b 

4c(b) 9(a) 4k 4g(1) 4n(3) 

33.10 3.12 3.16 1.31 1.35 4.23 4.32 

PERMANENT INJUNCTI

HERNANDEZ, ROBERT PHILLIP 86-2 CFTC 09/10/86 4b(A) 

4o(1) 4n(3)(A) 

1.31 4.23 4.32 

HERNANDEZ, SAMUEL J. 88-2185 SD FL 12/14/89 4b 

4c(b) 4g(1) 4n(3) 

33.10 1.31 1.35 4.23 4.32 166.3 

PERMANENT INJUNCTI

HERNANDEZ, SAMUEL J. 90-2 CFTC 12/01/89 4b 

4c(b) 

1.31 1.35 

153
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4g(1) 4n(3) 

4.23 4.32 33.10 166.3 

HERR, ALAN 82-2173 SD NY 09/13/82 

11/21/83 

4b(A) 4d(1) 4d(2) 4m 4n(1) 4n(2) 4n(4) 4o(1) 

1.17 1.10c 1.10d 1.14 1.20 4.20(c) 4.21(a) 4.21(b) 4.21(c) 4.22 4.24 

PERMANENT INJUNCTI

HERR, ALAN 83-5 CFTC 03/30/84 4b(A) 

4n(1) 4n(2) 4o(1) 4d(1) 4d(2) 4n(4) 

1.10c 1.10d 1.14 1.7 1.20 4.20(c) 4.21 4.22 4.24 

HERR, HERB 80-0689 SD NY 12/20/80 4 

4h 4b 

PERMANENT INJUNCTI

HERR, HERB 8202173 SD NY 09/13/82 

11/21/83 

4b(A) 4d(1) 4d(2) 4m 4n(1) 4n(2) 4n(4) 4o(1) 

1.17 1.10c 1.10d 1.14 1.20 4.20(c) 4.21(a) 4.21(b) 4.21(c) 4.22 4.24 

PERMANENT INJUNCTI

HERR, HERB 83-5 CFTC 03/30/84 4b(A) 

4n(1) 4n(2) 4o(1) 4d(1) 4d(2) 4n(4) 

1.10c 1.10d 1.14 1.7 1.20 4.20(c) 4.21 4.22 

154
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4.24 

HERZBER, MELVIN 82-23 CFTC 05/16/83 6(b) 

4f(1) 4k(1) 4d(2) 4f(2) 4b(2) 

1.10(a)(1) 1.20(a) 1.32 1.17(a)(1) 1.10(b) 1.10(d) 

HERZBERG, MELVIN 80-3952 SD NY 10/22/80 4d(2) 

4f(1) 4f(2) 4k 4b 

1.10(a) 1.10(b) 1.10(d)(1) 1.17(a)(1) 1.20(a) 1.32 

PERMANENT INJUNCTI

HESSAR ALLIANCE INCORPORATED 

03 CV 7112 SD NY 8/24/2004 PERMANENT INJUNCTI

HESSE, MICHAEL THOMAS 91-C-1707 D CO 05/19/92 4b(A) 

4o 

4.20(b) 4.20(c) 

PERMANENT INJUNCTI

HESSEE, KEVIN LEE 92-8529 SD FL 09/24/93 4b(a) 

4c(b) 

33.7(f) 33.10 

PERMANENT INJUNCTI

HESSEE, KEVIN LEE 94-3 CFTC 10/21/93 4b(a) 

4c(b) 

33.7(f) 33.10 

HESTERMAN, WILLIAM B. JR. 75-3355 CD CA 10/22/75 4c(b) 

4m 

30.01 PERMANENT INJUNCTI

HEWITT, PAUL J. SD-90-5 CFTC 11/26/90 

HEYBURN, DENNIS SACV02-173 CD CA 2/28/02 4b(a)(i) 

4b(a)(iii) 4(a) 

1.1(b)(1) COMPLAINT FILED 

HILBURN, RODGER 80-1 CFTC 11/10/80 4c(c) 

4c(b) 

32.9 

HILBURN, RODGER DON 85-1555 ND CA 03/30/88 4(a) 

4b(a) 4b(c) 

 PERMANENT INJUNCTI

HILL, JOSEPH T. 78-14 CFTC 05/03/78 HINDLEY, RICHARD 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

HINES, BILLY HUGH 79-29 CFTC 04/09/80 4c(c) 32.1 

HING, JOHN ONG 01-01 CFTC 7/25/03 4b(a)(i) & 

(iii) 

1.12(b) & (g) 166.3 

ALJ INITIAL DECISION 

155
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HINSHAW, DOUGLAS D. 88-18 CFTC 02/27/90 4b(A) HIRSCHBERG, JUDD BLAIR SD-91-7 CFTC 12/27/95 

HIRSCHY, PIERRE ALAIN 85-12 CFTC 01/06/86 4b(A) 

6(b) 6(c) 9(b) 13(a) 

HIX, JOHN D. 78-47 CFTC 08/28/78 HOBBS, EVERETT SCOTT 96-5946 ED CAL 09/05/96 4b(a)(i) 

4b(a)(ii) 4o(1)(A) 4o(1)(B) 4m(1) 

4.20(a) 4.20(b) 4.20(c) 

PRELIMINARY INJUNCTION 

HOFFBERG, BUFF AARON 93-C-3106 ND IL 12/23/94 4b(a)(i) 

4o(1) 4m(1) 

PERMANENT INJUNCTI

HOFFECKER, CHARLES PAUL 92-6692 SD FL 05/03/93 

02/21/96 

4b 4c(b) 

33.7(f) 33.10 

PRELIMINARY INJUNCTION 

HOFFMAN, CHARLES JR. 78-59 CFTC 09/22/80 

HOFFMAN, PETER D. 99-9 CFTC 03/30/99 4b(A) 

4m 4o(1)(A) 4o(1)(B) 

4.41(a) 4.41(b) 

HOFFMAN, ROBERT P. 96-08202 SD FL 09/29/99 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 4k(1) 4k(2) 4d(1) 4d(2) 4m(1) 9(a) 4n 

1.20(a) 4.20(c) 3.12(a) 4.21 4.24 4.26 4.22 4.23 4.25 

PERMANENT INJUNCTI

156
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HOFMANN KAVANAUGH COMMODITY CORPORATION 

77-3928 CD CA 10/31/77 4d(2) 

4f(2) 

1.17 1.20(a) 

PERMANENT INJUNCTI

HOFMANN KAVANAUGH COMMODITY CORPORATION 

80-2 CFTC 03/03/83 4f(2) 

4g(1) 4d(2) 

1.17(b)(1) 1.10(f) 1.20(a) 

HOGGE, MARTIN J. 84-1463 SD CA 09/03/85 4m 

19 

31.1 31.24 

PERMANENT INJUNCTI

HOLD-TRADE, INC. a/k/a HOLD TRADE, LTD. 

99-4 CFTC 2/11/2004 4b(a)(i)-(iii) 

2(a)(1)(B) 

COMMISSION ORDER 

HOLLANDER, FREDERICK N. 93-1567 SD FL 02/25/94 4c(b) 33.7(f) 

33.10 166.3 

PERMANENT INJUNCTI

HOLLANDER, FREDERICK N. 94-11 CFTC 03/01/94 4c(b) 33.7(f) 

33.10 166.3 

HOLLENBAUGH, JOHN 1:04CV1403 ND OH 7/22/2004 COMPLAINT FILED 

HOLLOCKER, STEWART W. 82-44 CFTC 01/23/86 4k 1.10(b) 

HOLMES, TONY 79-28 CFTC 10/15/80 4c(b) 32.3(b)(1) 

HOLSTON, YOUNG, PARKER & ASSOCIATES 

03 CV 1796 ND NY 5/23/03 PRELIMINARY 

INJUNCTION 

HOLT, ANTHONY L. 97C7061 ND IL 1/30/01 4m(1) 

4o(1)(B) 4o(1) 

PERMANENT INJUNCTI

HOLT, RONALD STEPHEN CV 03 1826 D AZ 7/27/2004 CONTEMPT ORDER 

157
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HOMOLKA, KATHLEEN D. 89-25 CFTC 08/03/90 4a(5) HON, EDMOND 93-3494-C ND CA 05/26/94 4(a) PERMANENT INJUNCTI

HONG, TONY 92-259 ED NY COMPLAINT FILED HORN, SIMON PETER 92-443E(M) SD CA 01/14/93 4(a) 

4b(A) 

PERMANENT INJUNCTI

HORNBLOWER, WEEKS, NOYES AND TRASK, INC. 

81-7 CFTC 02/09/81 4k(1) 

HOROWITZ, ALAN LEE 91-23 CFTC 03/31/92 4c(b) 33.10 HOUGE, RICHARD 99-6 CFTC 3/9/00 4(a) 

4c(b) 4d(1) 

1.33(a) 1.55 32.2 32.3 33.3(b) 

COMMISSION ORDER 

HOUSTON SYSTEM TRADING, LLC 

00-24 CFTC 6/29/00 4o(1) 

4k 4m(1) 4b(a)(i) 4b(a)(iii) 4n(4) 

4.41(a) 4.41(b) 3.12 4.22 4.20 4.23 4.21 4.31 4.33 

COMMISSION ORDER 

HOWARD, YDIYELL 00 C 7344 ND IL 3/27/02 4b(a)(i) 

4b(a)(iii) 

166.2 PERMANENT INJUNCTI

HOWE, JOHN FARWELL III 76-4051-H D MA 11/11/76 4c(b) 30.01 PERMANENT INJUNCTI

158
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(2) 4f(2) 4g(1) 4o(1) 

1.17 1.20 1.31 1.32 1.33 

HOWE, ROSE M. 83-44 CFTC 10/29/85 4n(1) 

4n(2) 

1.10(c) 1.10(d) 1.14 3.13 3.31 

HOWE, WILLIAM A. 79-1071 D MA 06/15/79 4d(2) 

4f(2) 4g(1) 

1.17a(1) 1.18 1.20(a) 1.31(a) 1.32 1.34 1.35 

PERMANENT INJUNCTI

HOWE, WILLIAM A. 83-44 CFTC 10/29/85 4b(A) 

4b(B) 4n(1) 4n(2) 4n(3) 4n(4) 4o(1) 

1.10 1.14 3.13 3.31 1.10d 4.21 4.22 4.23 4.23(b) 4.31 

HOWE, WILLIAM A. 84-768N D MA 03/26/84 RESTRAINING ORDER HOWELL, BOBBY J. 78-2240 WD TN 12/02/80 

HOWELL, BOBBY J. 79-1233 MD FL 10/11/85 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

HOWELL, BOBBY J. 79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

HOY, ROGER MARTIN a/k/a ROGER MARTIN 

99-CV-1184 D. MINN. 2/8/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4o 

33.10 4.33(a)(7) 4.41(a) 

PERMANENT INJUNCTIO

HOYT, NANCY CV 03 603 D OR 8/25/2004 4b(a) 1.1(b) PERMANENT INJUNCTI

159
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4(a) 

HSU, DAVID 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

HSU, DAVID 92-9 CFTC 12/09/91 4(a) HSU, GRACE 98-10 CFTC 04/06/99 4b(a)(i) 166.2 

1.55(a)(1) 

HSU, RUBY 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

HSU, RUBY 92-9 CFTC 12/09/91 4(a) HUCKMAN, FRED 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

HUDDLESTON, MARY HUNT 78-7 CFTC 07/21/81 4a 150.4 HUDKINS, STEVEN D. 3:98CV0281AS N.D. IND. 1/12/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(a)(1) 4.20(c) 4.21 4.24 

PERMANENT INJUNCTI

HUGHES, SHELDON 77-2 CFTC 02/29/80 4f(2) 

4g 

1.17 1.35 

HUMPHERYS, VAUGHN E. 79-25 CFTC 02/04/81 4g 1.37 

160
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HUNSUCKER, BOBBY JOE 79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

HUNT HOLDINGS, INC. 78-7 CFTC 07/21/81 4a 150.4 

HUNT, DOUGLAS 78-7 CFTC 07/21/81 4a 150.4 

HUNT, HOUSTON B. 78-7 CFTC 07/21/81 4a 150.4 HUNT, JOSEPH 86-5457 CD CA 01/12/87 4m 

4o(1) 

 PERMANENT INJUNCTI

HUNT, NELSON B. 78-7 CFTC 07/21/81 4a 150.4 HUNT, NELSON BUNKER 77-1489 ND IL 07/21/81 4a PERMANENT INJUNCTI

HUNT, NELSON BUNKER 85-12 CFTC 12/20/89 6(b) 

6(c) 9(b) 13(a) 

HUNT, W. H. 77-1489 ND IL 07/21/81 4a PERMANENT INJUNCTIHUNT, W. H. 78-7 CFTC 07/21/81 4a 150.4 

HUNT, WILLIAM HERBERT 85-12 CFTC 12/20/89 6(b) 

6(c) 9(b) 13(a) 

HUNTER, NOREEN JUDITH 88-16 CFTC 04/25/89 4b HUSSAIN, SYED 98-2 CFTC 07/15/99 4k(1) 3.12(a) 

161
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

HUTCHERSON, MARK 99-7 CFTC 2/4/00 4c(b) 166.3 

33.10 

COMMISSION ORDER 

HUTCHINSON, NORMAN E. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

HYMAN, ALBERT 78-40 CFTC 06/22/78 6(b) 

IACIOFANO, DOMENIC 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

IACIOFANO, DOMENIC F. 79-51 CFTC 02/27/81 IAGROSSI, NANCY CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

IAM, INC. 00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

IANNOTTI, FRANK M. 92-00361 D CT 08/06/92 4(a) PERMANENT INJUNCTIIANNUZZI, ANTHONY 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

IANNUZZI, ANTHONY 03 CV 9129 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

162
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

IB BROKERAGE 93-2765 SD NY 01/29/96 4d(1) 

4b(a)(i) 4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

IBB INC. 93-2765 SD NY 01/29/96 4d(1) 

4b(a)(i) 4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

IBS, INC. (A NORTH CAROLINA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

ICELAND MANAGEMENT SERVICES, INC. 

03-2659 TJH CD CAL 4/16/03 4b(a)(2) 

4c(b) 4o(1) 4m(1) 4n(4) 

33.10 4.22 

COMPLAINT FILED 

ICELAND MANAGEMENT SERVICES, INC. 

03-2659 TJH CD CAL 12/13/2004 4b(a)(2)(i)&(i 

ii) 4c(b) 4o(1)(A)&(B) 

33.10 PERMANENT INJUNCTI

IDE INTERENATIONAL 80-0689 SD NY 07/19/82 4b PERMANT INJUNCTION 

ILK, MARK RICHARD 90-32 CFTC 09/22/92 4b(A) 166.2 

ILK, MARK RICHARD 92-13 CFTC 11/05/92 4c(b) 

4k(2) 

4.31(a) 4.31(f)(1) 33.10 166.3 

IMC TRADING, INC. (A NEVADA 3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) PRELIMINARY 

163
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CORP.) 4b(a)(ii) 

4b(a)(iii) 4(a) 

INJUNCTION 

IMC TRADING, INC. (A NORTH CAROLINA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

IMC TRADING, INC. (AN ARIZONA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

IMPERIAL OPTIONS, LTD. 77-7 CFTC 06/21/78 INAMDAR, ANAND K. CV 04 3081 ED NY 12/20/2004 PERMANENT INJUNCTI

INCOMCO, INC. 80-25 CFTC 10/02/84 

INCOMCO, INC. 80-3103 SD NY 07/29/81 4d(2) 

4f(2) 4g 4i 

1.20(a) 1.17(a) 1.31 1.35 

PERMANENT INJUNCTI

INCOMCO, INC. 80-4399 SD NY 07/29/81 

INCOMCO, INC. 82-20 CFTC 05/12/86 4d(2) 

4f(1) 4f(2) 6(b) 

1.10 1.12 1.17 1.20(a) 1.22 123 1.27(a) 

INDEX FUTURES GROUP, INC. 92-28 CFTC 09/29/92 9(a) 

4d(2) 

1.20 1.22 

COMPLAINT FILED 

INDEX SERVICES, INC. 85-23 CFTC 12/29/86 4b(A) 3.31 

164
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(b) 4n 4o 

4.31(a) 4.31(b) 4.31(f) 4.41(a) 4.41(b) 33.3(a) 33.10(a) 33.10(c) 

INDIHAR, MICHAEL 96-08202 SD FL 06/25/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1)(A) 4o(1)(B) 4d(1) 4d(2) 4m(1) 4k(1) 4k(2) 9(A) 4n 

1.20(a) 4.20(c) 3.12(a) 4.21 4.24 4.26 4.22 4.23 4.25 

PERMANENT INJUNCTI

INFINITE TRADING GROUP, LLC 1:01-cv-1107 ND GA 3/27/03 4c(b) 32.9 

32.5 32.11 33.3 32.8 

PERMANENT INJUNCTI

INGWERSON, MICHAEL 03-19 CFTC 7/11/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

INTERBROKERS USA, INC. 89-2324-1 D SC 02/16/93 4d(2) 

4f(2) 

1.20(a) 1.17(a) 

PERMANENT INJUNCTI

INTERCO 84-1463 SD CA 09/03/85 4m 

19 

31.1 31.24 

PERMANENT INJUNCTIO

INTERCO II 84-1463 SD CA 09/03/85 4m 

19 

31.1 31.24 

PERMANENT INJUNCTIO

INTERCONTINENT COMMODITY 84-6495-JE SD FL 07/01/85 4n(3)(A) 1.31 PERMANENT INJUNCTI

165
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ADVISORS, INC. 4.23 

4.32 

INTERCONTINENTAL FOREIGN EXCHANGE, LTD. 

90-192 D CO 12/02/91 4m(1) 

4o 4b(A) 4b(B) 4d(1) 

PERMANENT INJUNCTI

INTERNATIONAL ADVANCED INVESTMENTS, INC. 

CIV-PJM-98-3316 D. MD 10/27/99 4(a) 

4b(a)(i) 4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 

PERMANENT INJUNCTI

INTERNATIONAL BULLION CLEARING CORPORATION 

81-CA12 WD TX 02/22/89 4c(b) 

4c(c) 4m 

32.9 PERMANENT INJUNCTI

INTERNATIONAL BULLION CORPORATION 

79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

INTERNATIONAL BULLION SERVICES (BAHAMAS), INC. 

3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

INTERNATIONAL CLEARING EXCHANGE 

81-CA12 WD TX 12/15/82 

02/22/89 

4c(c) 4c(b) 

32.9 PRELIMINARY 

INJUNCTION 

INTERNATIONAL COAL CORPORATION 

81-2250-W WD TN 05/06/86 4 

4b(A) 

 PERMANENT INJUNCTI

166
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(C) 4o(1) 

INTERNATIONAL COMMODITIES CORPORATION 

77-3864 CD CA 06/12/79 4c(b) 

4i 4g 4o 

1.35(a) 32.7 32.9 32.5 1.31 

PERMANENT INJUNCTI

INTERNATIONAL COMMODITIES CORPORATION 

79-7 CFTC 04/22/83 4c(b) 

6(b) 4g 4g(1) 4f(1) 4f(2) 4d 

32.9 32.5 1.31(a) 1.35 32.7 1.17(b) 1.20 32.6 1.23 1.18 1.10(f) 1.32 

INTERNATIONAL COMMODITY ADVISORS, INC. 

76-19 CFTC 12/27/76 4b 

4o(1) 4m 

INTERNATIONAL COMMODITY INVESTMENT INC. 

78-6508 SD FL 02/06/79 4d(2) 

4f(2) 

1.17 PERMANETN INJUNCTI

INTERNATIONAL COMMODITY OPTIONS, LTD. 

78-2 CFTC 07/03/79 4c(b) 32.3 

INTERNATIONAL CURRENCY EXCHANGE, INC. 

79-03851 CD CA 09/21/82 4c(c) 

4c(b) 

PERMANENT INJUNCTI

INTERNATIONAL CURRENCY MERCHANTS INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

INTERNATIONAL CURRENCY STRATEGIES, INC. 

01-8350 SD FL 7/15/02 4c(b) 32.9 

32.11 33.3 32.5 4.14(a)(9) 

PERMANENT INJUNCTI

INTERNATIONAL DYNAMICS, INC. 

84-29 CFTC 05/28/85 4m(2) 1.10c 

1.10d 1.14 

INTERNATIONAL FINANCIAL SERVICES (NEW YORK) LLC 

02 CIV 5497 SD NY 5/26/2004 4(a) 

4b(a)(2)(C)(i ) & (iii) 

1.1(b)(1) & (3) FINAL JUDGMENT 

167
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INTERNATIONAL FOREIGN CURRENCY, INC. d/b/a INTERNATIONAL FOREIGN CURRENCY EXCHANGE, and I.F.C. TRADING, INC. 

CV 03 3577 ED NY 7/23/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

INTERNATIONAL FUNDING ASSOCIATION, INC. 

CV 03 1826 PHX D AZ 9/18/03 4b(a) PRELIMINARY 

INJUNCTION 

INTERNATIONAL FUTURES CORPORATION 

98-16 CFTC 02/25/99 4b(a) 

4o(1)(A) 4o(1)(B) 4m 

4.31(a) 4.31(b) 4.33(a)(7) 4.36(d)(1) 4.41(a) 4.41(b) 

INTERNATIONAL GOLD BULLION EXCHANGE, INC. 

79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

INTERNATIONAL GOLD EXCHANGE INC. 

79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

INTERNATIONAL GRAIN, LTD. 83-C-4994 ND IL 10/14/83 4g(1) 

4b(A) 4b(B) 4b(D) 4d(1) 4d(2) 

166.2 1.20(a) 1.31(a) 1.35 

PERMANENT INJUNCTI

INTERNATIONAL INVESTMENT GROUP, LTD. 

99-6560-CIV S.D. FL. 10/29/99 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 4n(4) 4o(1) 

3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

INTERNATIONAL INVESTORS TRADING GROUP, INC. 

01-7402 SD FL 8/23/2004 DEFAULT ORDER 

168
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INTERNATIONAL METALS INVESTMENT CO., LTD. 

85-12 CFTC 04/30/91 6(b) 

6(c) 9(b) 13(a) 

INTERNATIONAL MONETARY GROUP, INC. 

5:01CV1496 ND OH 4/30/02 4c(b) 

4m(1) 4o(1) 4k(2) 4n(4) 

32.9 32.11 33.3 32.5 3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

INTERNATIONAL PETROLEUM EXCHANGE, INC. 

80-0689 SD NY 07/19/82 4b PERMANENT INJUNCTI

INTERNATIONAL PRECIOUS METALS CORPORATION 

83-17 CFTC 12/21/82 4o(1) 31.03 

166.3 

INTERNATIONAL ROYAL INVESTORS LTD. 

79-1663 SD NY 01/26/81 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

INTERNATIONAL SILVER BULLION EXCHANGE CORP. 

84-10501 ND IL 09/16/85 4o(1) 

4(a)(1) 4(a)(2) 4b(A) 

PERMANENT INJUNCTI

INTERNATIONAL SILVER BULLION EXCHANGE CORP. 

85-26 CFTC 09/13/85 4(a)(1)( 

4(a)(2) 4b(A) 4o(1) 

INTERNATIONAL TRADING GROUP 

89-5363 CD CA 03/05/91 4c(b) 32.9 

33.10 166.3 

PERMANENT INJUNCTI

INTERNATIONAL TRADING GROUP OF IOWA 

89-5363 CD CA 04/03/90 4c(b) 32.9 

33.10 166.3 

PERMANENT INJUNCTI

INTERNATIONAL TRADING GROUP OF IOWA 

90-9 CFTC 03/27/90 4c(b) 32.9 

33.10 166.3 

INTERNATIONAL TRADING GROUP, LTD. 

91-5 CFTC 03/05/91 4c(b) 32.9 

33.10 166.3 

169
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INTERNATIONAL TRADING SYSTEMS, AUSTRALIA PTY, LIMITED 

00-28 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

INTERNATIONAL TRADING SYSTEMS, LTD. 

00-28 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

INTERSTATE SECURITIES CORPORATION 

87-19 CFTC 06/01/92 4b(A) 166.3 

INTERTRADE FOREX, INC. 6:03-cv-119 MD FL 12/15/2004 4(a) 

4b(a)(2)(i) 

1.1(b)(1) & (3) DEFAULT ORDER 

INTERVEST COMMODITIES INCORPORATED 

81-11 CFTC 05/22/81 4c(b) 32.9 

INTERVEST COMMODITIES, INC. 

78-1692 SD FL 05/25/81 4c(b) 32.9 PERMANENT INJUNCTI

INVESTMENT BANKER’S BROKERAGE 

93-2765 SD NY 01/29/96 4(d)(1) 

4b(a)(i) 4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

INVESTORS FREEDOM CLUB, L.C. 

8:03-CV-54-T MD FL 1/13/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

INVESTORS INTERNATIONAL INC. 

78-64 CFTC 09/17/81 4d(1) 

4k 

1.7 

IOWA STATE BANK AND TRUST CO. 

4-96-70005 A 11/07/96 

IP, YUN SANG 92-9 CFTC 12/09/91 4(a) 

170
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

IP, YUNG SANG 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

IPEC EQUITIES CORPORATION 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

ISB CLEARING CORPORATION 03 CV 9127 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ISB CLEARING CORPORATION 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ISLES, CARMEL E. 93-8242 SD FL 01/13/94 4b 

9(a) 4d 

PERMANENT INJUNCTI

ITRADECURRENCY USA, LLC 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ITRADECURRENCY USA, LLC 03 CV 9129 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ITZKOWITZ, DAVID 86-3 CFTC 04/29/86 4e ITZKOWITZ, DAVID SD-00-03 CFTC 6/9/00 ALJ ORDER 

ITZKOWITZ, DAVID SD-95-20 CFTC 07/25/95 IV GREAT RIVER CORP. 98-5 CFTC 01/23/98 4b(a) 

4(d)(1) 

1.20(c) 1.33 

171
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4(d)(2) 4k(1) 9(a)(1) 

1.55 3.12 

IZDEBSKI, RICHARD 88-18 CFTC 06/07/88 4b(A) 

4k(1) 6(b) 

1.31(a) 3.15 166.2 

J. S. LOVE & ASSOCIATED OPTIONS, LTD. 

76-928 SD NY 03/01/76 4c(b) 

4m 4o 

30.01 PERMANENT INJUNCTI

J. S. LOVE & ASSOCIATES CONSULTANTS, INC. 

76-928 SD NY 03/01/76 4c(b) 

4m 4o 

30.01 PERMANENT INJUNCTI

J. TRADERS, INC. 99-C-2357 ND IL 04/12/99 STATUTORY 

RESTRAINING ORDER 

J.P.M. INDUSTRIES INC. SD-87-3 CFTC 12/18/90 

J.P.M. INVESTMENTS, INC. 99-C-2357 ND IL 04/12/99 

05/28/99 

STATUTORY RESTRAINING ORDER 

J.P.M. TRADING COMPANY, INC. SD-87-3 CFTC 12/18/90 

J.P.M.R., INC. 99-C-2357 ND IL 04/12/99 STATUTORY 

RESTRAINING ORDER 

J.R. SIMPLOT, CO. 77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

J.S. CAMPBELL AND COMPANY 88-24 CFTC 11/30/89 4b(A) 

4b(B) 4b(C) 4o(1) 4d(1) 4d(2) 9(a) 

1.20 

JACK CARL ASSOCIATES, INC. 88-5 CFTC 01/21/88 4k 

JACKAM, KEVIN 99-7 CFTC 07/29/99 4c(b) 33.10 

166.3 

172
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

JACOBSEN, ELLIOTT 80-0421 SD NY 06/21/83 4b(A) 

4n(3)(A) 4n(4) 4o(1) 

4.20(c) 4.21(a) 4.22(a) 4.23 

PERMANENT INJUNCTI

JADERBORG, RONALD T. 79-6 CFTC 05/29/79 6(b) JAMELL, SALEM F. 87-16 CFTC 09/22/87 4b(A) 4.13(b)(1) JAMES BROWN MONTFORT SD-91-4 CFTC 01/22/92 8a(3)(G) 

8a(3)(N) 8a(4) 

JAMES T. MCKERR & COMPANY 86-20 CFTC 11/17/87 4d(2) 

4f(2) 

1.20(a) 1.23 1.32 1.35(a) 1.17 1.27(a) 1.36(a) 1.36(c) 

JAMES TIMPSON AND ASSOCIATES, INC. 

86-1342TCM SD CA 09/14/87 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

JAMES, DONALD E., individually and d/b/a FRANKLIN THOMAS & COMPANY 

1:99-cv-0967 N.D. GA 5/8/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 4n(4) 

4.22 4.20(c) 4.21 

PERMANENT INJUNCTI

JANKOWSKI, CHRISTOPHER A. 79-16 CFTC 04/21/86 4f 

4b(A) 4g 4d(1) 4d(2) 4b(B) 4b(C) 4b(D) 

1.10(b) 1.18(a) 1.10(d) 1.20(a) 1.10(f) 1.35 1.17(a) 1.7 

173
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4h(2) 4k 4 

1.38 1.23 1.32 

JANSON, DAVID HERMAN 02-11 CFTC 5/22/02 4c(a) 1.56(c) COMMISSION ORDER 

JARBOE, JAMES P. 80-19 CFTC 06/16/81 4d(2) 

4g 9(b) 6(b) 6(c) 13(a) 

1.20(a) 1.23 1.37 17.01 

JARVIS, THOMAS 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

JAWHARI, NIZAR HASSAN 86-H-4366 SD TX 03/09/87 

03/28/87 12/02/87 

4(a) 4b(A) 

PERMANENT INJUNCTI

JCC, INC. 83-43 CFTC 01/14/97 JCC, INCORPORATED 89-4 CFTC 09/15/95 4b(A) 

JDI LIMITED INC. D/B/A/ FUTURE VISION 

95-6221 SD FL 11/27/96 4m(1) 

4o(1)(A) 4o(1)(B) 

4.41(a)(1) 4.41(a)(2) 

PERMANENT INJUNCTI

174
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(i) 

JDM INVESTMENTS 1:03 CV 149 MD NC 6/20/03 4b(a)(2)(i)­

(iii) 

1.1(b) COMPLAINT FILED 

JEBROCK, MICHAEL 87-2591HAA D NJ 07/18/88 

11/14/91 

4(a) 4b(A) 

PERMANENT INJUNCTI

JEFFERSON NATIONAL INVESTMENT CORPORATION 

79-1233 MD FL 10/11/85 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

JENSEN, DANIEL E. SD-94-9 CFTC 09/09/94 JEWETT, EUGENE LYON II 97-7 CFTC 05/08/97 4d(1) 

4d(2) 

1.33(a) 1.33(b) 1.55 33.7 

JIA, JAMES 93-0088 ED NY 08/09/93 4(a) 

4b(A) 4d(1) 

3.10 PRELIMINARY 

INJUNCTION 

JMK CAPITAL MANAGEMENT, INC. 

C-1-01-212 SD OH 12/18/01 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

4.20(c) 4.21 

PERMANENT INJUNCTI

JNW MANAGEMENT 1:00 CV 0300 ND IN 8/24/03 4k(2) 

4o(1)(B) 

PERMANENT INJUNCTI

175
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

JOE MILLER COMPANY d/b/a IMC TRADING (A CALIFORNIA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

JOHANNING, JEROME B. 87-13 CFTC 05/11/88 4b(D) 

4c(a)(A) 4c(a)(B) 

1.38(a) 

JOHN C. NAYLOR & ASSOCIATES 

80-27 CFTC 01/09/84 4b 

4d 4h 

JOHN C. NAYLOR CORPORATION 

80-27 CFTC 01/09/84 4b 

4d 4h 

JOHN C. NAYLOR GROUP 80-27 CFTC 01/09/84 4b 

4d 4h 

JOHN F. DURKIN AND COMPANY, INC. 

82-43 CFTC 05/02/84 4b 

4m 4n 4o(1) 

4.20(c) 4.21 4.22 4.24 

JOHN J. MULLER ASSOCIATES, INC. 

77-22 CFTC 08/02/82 

JOHN R. SIMPLOT COMPANY 78-25 CFTC 03/07/78 JOHNSON, COREY 00-35 CFTC 7/8/02 4c(b) 33.10 

166.3 

ALJ ORDER 

JOHNSON, DAVID G. 1:00 CV 0300 ND IND 2/12/03 4o(1)(B) PERMANENT INJUNCTI

176
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

JOHNSON, DAVID G. SD 03-03 CFTC 5/2/03 COMMISSION ORDER 

JOHNSON, DAVID G. d/b/a TRADEMASTER 

1:00CV0300 ND IN 7/11/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1)(A) 4o(1)(B) 4k(2) 2(a)(1)(B) 

1.31 4.23 

COMPLAINT FILED 

JOHNSON, EDWARD T. 04-80132 SD FL 2/10/2004 4c(b) 32.9(a) & (c) STATUTORY 

RESTRAINING ORDER 

JOHNSON, G. VICTOR 04-29 CFTC 9/30/2004 COMPLAINT FILED 

JOHNSON, STEPHEN F. 92-5 CFTC 01/22/92 1.35(a-1)(2) JOHNSON, THOMAS J. 82-34 CFTC 11/06/85 4a(2)(B) 

4i 

150.4 150.11 150.12 180.00 

JOHNSON, THOMAS J. 84-2 CFTC 10/24/83 JOHNSON, THOMAS J. 89-8 CFTC 01/26/90 4a(2)(B) 

6(b) 

150.2 

JOINER, WILLIAM H. 84-37 CFTC 05/14/84 4c(b) 

4c(c) 

32.11 

JOINER,W ILLIAM H. JR. 79-1085 ND TX 03/19/84 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

JONES, NICHOLAS B. 78-2 CFTC 07/03/79 4c(b) 32.3 JONES, NICHOLAS B. 79-4873 SD NY 10/23/79 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

JONES, STANLEY T. 85-6 CFTC 01/13/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

JONES, TERRY EDWARD 03-15 CFTC 6/30/03 4m 4.41(b) COMMISSION ORDER 

177
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

JORDAN, ROBERT 83-20 CFTC 03/30/83 4a(2)(B) 150.2 

150.4 150.11 150.12 

JOSTEN, WALTER 84-6717 SD FL 09/12/84 RESTRAINING ORDER JOSTEN, WALTER S. 84-8601 ND IL 10/19/84 4b(A) 

4b(C) 

PRELIMINARY 

INJUNCTION 

JOYCE, JOHN 02-13 CFTC 10/15/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(a)(1) 

1.38 COMMISSION ORDER 

JOYCE, PAUL FRANCIS 92-8529 SD FL 06/09/93 4b(a) 

4c(b) 

33.7(f) 33.10 

PERMANENT INJUNCTI

JOYCE, PAUL FRANCIS 93-21 CFTC 06/21/93 4b(a) 

4c(b) 

33.7(f) 33.10 

JPM COMMODITIES, INC. 99-C-2357 ND IL 04/12/99 STATUTORY 

RESTRAINING ORDER 

JPM TRADERS, INC. 99-C-2357 ND IL 04/12/99 

05/28/99 

STATUTORY RESTRAINING ORDER 

JPM, INC. 99 C 2357 N.D. IL. 7/17/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(a)(1) 4.20(c) 4.21 

PERMANENT INJUNCTI

JPM2, INC. 99-C-2357 ND IL 04/12/99 STATUTORY 

178
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RESTRAINING ORDER 

JSG FREIGHT SYSTEMS, INC. 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

JUDD, PAUL B. 00-13 CFTC 5/1/00 4c(b) 

4o(1) 

4.41(a) 33.10(a) 33.10(c) 

COMMISSION ORDER 

JUECHTER, ADAM 96-CV-2640 ED PA. 10/20/99 FINAL ORDER OF 

DISTRIBUTION, SUPPLEMENTING PERMANENT INJUNCTI

JUSTUS ENTERPRISES, INC. 01-01 CFTC 7/25/03 4b(a)(i) & 

(iii) 4m 4o(1) 

ALJ INITIAL DECISION 

JVF INVESTMENTS, INC. 83-8018WMH SD FL 05/12/84 4a PERMANENT INJUNCTI

KAHN, ELLIS K. 83-43 CFTC 02/13/97 

KAHN, ELLIS K. 89-4 CFTC 09/15/95 4b(A) 1.31 

1.35(a) 

KAHN, LARRY 04cv3641 ED PA 7/30/2004 COMPLAINT FILED KALUS, ELLIOT 78-55 CFTC 05/25/79 4c(b) 32.5(a) 

32.5(c) 32.7 32.9 

KAMERDIN, JOHN 85-50 CFTC 02/27/87 4b(A) 

KAMINSKI, KENNETH W. 80-36 CFTC 02/04/83 4f(1) 

4g(1) 8b 4b(A) 4b(C) 

1.18(a) 1.35(a) 

KAMROW, JEFFREY WARD 90-24 CFTC 01/31/91 4(b)(A) 

4o(1) 

KANGLES, ELIZABETH A. SD-88-4 CFTC 05/17/88 

179
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KANNO, GEORGE 79-59 CFTC 12/11/80 

KANSAS CITY BOARD OF TRADE 

85-6 CFTC 11/23/84 5a(8) 1.51(a) 

1.53 8.06(a)(2) 

KANSAS COMMODITY TRADERS, INCORPORATED 

80-21 CFTC 02/23/82 4b 

4o 

KAPLAN, ARTHUR 80-29 CFTC 05/20/81 4b(A) 

4b(C) 4b(D) 4c(a) 4b 

1.38(a) 

KAPLAN, MURRAY F. SD-95-6 CFTC 06/13/96 KAPP, ARNOLD E. 79-3558 SD FL 02/12/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

KARAFOTAS, PHILLIP T. 77-1 CFTC 05/26/78 4c(a) 

KARET INTERNATIONAL 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

KARIAN, ARLENE 76-928 SD NY 03/10/76 4c(b) 30.01 PERMANENT INJUNCTI

KARNY, DEAN 86-5457 CD CA 08/31/88 4m(1) 

4o(1)(A) 4o(1)(B) 

 PERMANENT INJUNCTI

KARRIS, CHRIS JOHN 83-11 CFTC 02/25/83 4e 

KASTIL, VICTOR M. 85-46 CFTC 02/21/86 4c(a)(B) 1.38(a) KATES, KEVIN 00-27 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a) 4.41(b) 

COMPLAINT FILED 

KAUFMAN, GEORGE J. 83-12 CFTC 04/20/84 4e 

KAUFMAN, MILTON 91-7 CFTC 06/25/92 4b(A) 1.38(a) 

180
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

KAUFMAN, MILTON SD-94-2 CFTC 11/24/93 

KAUFMAN, STUART 80-28 CFTC 03/27/86 4c(a) 1.38 

KAULENTIS, JAMES J. 93-2 CFTC 12/04/92 4c(a)(A) 

4c(a)(B) 4b(A) 4b(B) 4b(C) 4b(D) 

1.38(a) 

KAVANAUGH, L. ROY JR. 77-3928 CD CA 10/31/77 4d(2) 

4f(2) 

1.17 1.20(a) 

PERMANENT INJUNCTI

KAVANAUGH, L. ROY JR. 80-2 CFTC 12/15/82 4f(2) 

4g(1) 4d(2) 

1.17(b)(1) 1.10(f) 1.20(a) 

KAVEKOS, MANNY G. 01-8350 SD FL 7/15/02 COURT ORDER KAWAKAMI, LEO T. 82-41 CFTC 03/21/83 

KAY, JAMES W. 78-28 CFTC 06/29/78 6(b) 

KAZANAS, ELAINE a/k/a LAUREN ROSWELL a/k/a JOAN BENNETT 

02-60769 SD FL 8/31/2004 PERMANENT INJUNCTI

KEATS, RICHARD 79-1201 SD NY 04/05/79 32.9 

32.11 32.5 32.3 

PERMANENT INJUNCTI

KEEDY, JAYNE 90-1748-T ND TX 08/01/90 4b(A) 

4b(B) 4d(1) 4d(2) 

PERMANENT INJUNCTI

KEEFFE, ARTHUR JOHN (II) 8:04-CV-01021-DKC D MD 3/29/2004 COMPLAINT FILED 

181
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KEELER, RALPH 80-0689 SD NY 07/22/81 4 

4h 4b 

PERMANENT INJUNCTI

KEESHIN, SEYMOUR M. 82-21 CFTC 07/18/84 4b(A) 

4b(B) 4b(D) 4c(a)(A) 4c(c) 4g 

1.35 1.38 

KELLER, JOHN E. 81-2250-W WD TN 01/22/87 4b(A) 

4b(C) 4o(1) 

 PERMANENT INJUNCTI

KELLOGG, MICHAEL A. 80-6 CFTC 10/14/80 4c(a) 

9(b) 

KELLY, DAVID PAUL II 03-74206 ED MI 11/12/03 4b(a)(2)(i)­

(iii); 4c(b); 4o(1); 4m(1); 4k(2); 4n(4) 

33.10; 4.22; 4.24; 4.21 

PRELIMINARY INJUNCTION 

KELLY, J. MICHAEL 79-54 CFTC 09/26/80 4m 

4b 4o 4c(b) 4h(2) 

32.9 

KELLY, PATRICK D. SD-96-6 CFTC 04/16/96 8a(3)(E) KELLY, ROBERT J. 83-13 CFTC 04/12/84 4e 

KELLY, SEAN G. 97-6 CFTC 11/19/98 4n(3)(A) 1.31 

KELLY, THOMAS E. 98CIV5270 SD NY 11/03/98 4b(a)(i) 

4b(a)(iii) 

PERMANENT INJUNCTIO

KELSON, GARY 76-20 CFTC 11/17/76 4b KELSON, GARY 76-2095R CD CA 07/30/76 4b PERMANENT INJUNCTI

KEMP, ELIZABETH MISKUS 03-06 CFTC 1/6/03 4(a) 

4b(a) 

COMMISSION ORDER 

182
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KEMPER FINANCIAL SERVICES 94-1 CFTC 10/20/93 166.3 KENNEDY, EDWARD JOHN 83-28 CFTC 03/31/83 4e 

4g(1) 

1.31 1.35(a) 

KENNEY, THOMAS P. 89-27 CFTC 06/30/92 4a(5) 

4c(a)(A) 4c(a)(B) 4e 4i 

1.38 18.04 

KENNEY, THOMAS P. 91-11 CFTC 03/11/97 

KENT, HERBERT J. 81-1070-MC D MA 06/05/81 4d(1) 

4b(A) 4b(B) 4o(1) 

PERMANENT INJUNCTI

KEPREOS, CONSTANTINE THEODORE 

82-0305 D MA 05/21/85 4o(1) 

4b(A) 

4.21(a) 4.21(b) 4.21(g) 4.20(b) 4.20(c) 4.22(a)(3) 

PERMANENT INJUNCTI

KEROES, MARTIN 78-57 CFTC 01/22/81 6(b) 1.14 

KERZINGER, WILLY 97-15 CFTC 09/04/97 4b(a)(i) 

4m 4o(1)(B) 9(a)(1) 

4.20(c) 

KESSLER, IRWIN R. SD-98-5 CFTC 05/29/98 8a(3)(M) 

8a(4) 

183
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KETCHAM, RAYMOND 81-1189 D NJ 07/08/81 1.14 

4.31(a) 1.10(c) 

PERMANENT INJUNCTI

KETCHAM, RAYMOND H. 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

KETCHAM, RAYMOND H. 84-42 CFTC 04/03/85 4b(A) 

4o(1) 

4.31(a) 4.31(b) 4.31(d) 4.31(e)(2) 4.31(f)(1) 

KETCHAM, THERESA S. 84-42 CFTC 04/03/85 4b(A) 

4o(1) 

4.31(a) 4.31(b) 4.31(d) 4.31(e)(2) 4.31(f)(1) 

KHOKHANI, JYOTI I. 78-64 CFTC 09/17/81 4d(1) 

4k 

1.7 

KHROVJAK, CLAY 02-01 CFTC 9/19/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

COMMISSION ORDER 

KIDDER PEABODY AND CO. INC. 

88-6 CFTC 11/28/89 4b(D) 

4c(a)(A) 4c(a)(B) 4g 

1.35(a-1)(1) 1.38(a) 

KIDDER, PEABODY & CO. INC. 87-2 CFTC 11/25/86 4c(a)(A) 

4g(1) 

1.31(a)(1) 1.35() 

KIDZ FIRST INTERNATIONAL, INC. 

00-2071 RHK/SRN D. MINN. 9/15/00 PRELIMINARY 

INJUNCTION 

KILBRIDE, RONALD 02-09 CFTC 3/20/02 4b(a)(i) 1.38 COMPLAINT FILED 

184
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.35(d) 

KILBRIDGE, ROBERT 02-09 CFTC 1/31/03 4b(a)(i) 

4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 1.35(d) 

COMMISSION ORDER 

KILDANI, PAUL 80-1 CFTC 11/10/80 4c(c) 

4c(b) 

32.9 

KILLMAR, PAUL 89-0915K SD CA 06/17/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

KILPATRICK, JOHN 81-2250-W WD TN 02/13/84 4o(1) 

4 4b(A) 4b(C) 

 PERMANENT INJUNCTI

KIM, BONG JAE 95-CIV-0919 ED NY 02/09/95 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

KIM, SEUNGHO 00-24 CFTC 6/29/00 4o(1) 

4k 4m(1) 

4.41(a) 4.41(b) 3.12 

COMMISSION ORDER 

185
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(i) 4b(a)(iii) 4n(4) 

4.22 4.20 4.23 4.21 4.31 4.33 

KIM, WOOK HYUN 1:02CV2394 ND GA 8/28/02 EX PARTE STATUTORY 

RESTRAINING ORDER 

KIMBERLYNN CREEK RANCH, INC. (A CALIFORNIA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

KING COMMODITY SERVICE, INC. 

78-8293 SD FL 06/05/79 4f 

4g 4b 4o(1) 

1.17 1.18(a) 1.18(b) 1.18(c) 1.23 1.32 

PERMANENT INJUNCTI

KING COMMODITY SERVICES, INC. 

79-48 CFTC 05/25/79 4b 

4d 4f 4g 4o 

1.17 1.18(a) 1.23 1.32 1.18(b) 1.18(c) 

KING COMMODITY SERVICES, INC. 

82-13 CFTC 03/10/82 4d(2) 

4f(1) 4f(2) 4g 

1.10(b) 1.12(a) 1.12(b) 1.17(a)(1) 1.20(a) 1.32 1.35 

KING J. M. AND ASSOCIATES, INC. 

78-4195EW SD NY 09/20/78 4k(1) 

4b 4d(2) 4f(2) 

1.17 1.20 

PERMANENT INJUNCTI

KING, BRIAN 89-1923PN D MD 11/01/91 4(a) 

4b(A) 

PERMANENT INJUNCTI

KING, DAVID M. 79-2087 D DC 10/29/79 4m 

4n(3)(A) 

4.21 4.23 

PERMANENT INJUNCTI

186
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

KING, HUGH P. 75-10 CFTC 09/13/76 6(b) 

6(c) 

KING, J. MICHAEL 78-8293 SD FL 06/05/79 4b 

4o(1) 4d(2) 4f 4g 

1.17 1.18(a) 1.18(b) 1.18(c) 1.23 1.32 

PERMANENT INJUNCTI

KING, J. MICHAEL 79-48 CFTC 05/25/79 4b 

4d 4f 4g 4o 

1.17 1.18(a) 1.23 1.32 1.18(b) 1.18(c) 

KING, J. MICHAEL 95-9 CFTC 01/08/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

166.3 

KING, JAVETTE L. 00 C 7344 ND IL 3/27/02 PERMANENT INJUNCTIKING, JOHN J. 90-14 CFTC 03/12/91 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.31(a)(1) 1.35(a) 1.38(a) 

KING, JOHN L. 87-20 CFTC 09/29/87 4k(2) 

4m(1) 

KING, JOHN R. 87-20 CFTC 09/29/87 4k(2) 

4k(3) 4m(1) 

KING, MICHAEL A. 90-28 CFTC 08/11/92 4f(2) 

6(b) 

1.10(d) 1.12(a)(1) 1.17(a)(1) 1.17(a)(4) 1.18(a) 

KING, MICHAEL A. 92-17 CFTC 08/11/92 4c(b) 33.10 

166.3 

187
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KINGSFIELD RACING, INC. (A NEVADA CORP.) 

3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

KINGSFIELD, PAMELA 3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

KINGSFIELD, SAMUEL 3:00CV103-V W.D. NC. 6/21/00 PRELIMINARY 

INJUNCTION 

KINNAMON JACOBS, INC. 86-H-4366 SD TX 03/09/87 4(a) 

4b(A) 

PERMANENT INJUNCTI

KIRK, PAUL 86-2 CFTC 09/10/86 4b(A) 

4o(1) 

KIRRIS, EDWARD STEVENSON, III 

00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4n(4) 

4.20(c) 4.22 4.21 

PRELIMINARY INJUNCTION 

KITCHENER, GARY 78-55 CFTC 05/25/79 4c(b) 32.5(a) 

188
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.5(c) 32.7 32.9 

KJL FINANCIAL GROUP, INC. 4:02CV01477 ED MO 3/9/2004 4b(a)(i)-(iii) 

4o(1) 4m(1) 

4.30 4.34 4.35 4.31 

PERMANENT INJUNCTI

KLEMEN, STEPHEN J. JR. 75-1 CFTC 02/09/76 4g(1) 

4i 

18.00 

KLINE, JASON SCOTT 92-6427 SD FL 11/17/93 4b(a) 

4c(b) 4o 

33.7(f) 33.10 4.31(g) 4.41(a) 166.3 

PERMANENT INJUNCTI

KLINE, JAYSON S. 04-80132 SD FL 2/10/2004 4c(b) 32.9(a) & (c) STATUTORY 

RESTRAINING ORDER 

KLINE, JAYSON SCOTT 94-8 CFTC 12/09/93 4b(a) 

4c(b) 4o 

4.31(g) 4.41(a) 33.7(f) 33.10 166.3 

KLITIN ASSOCIATES II 97CV4973 ED NY 08/02/99 4o(a)(A) 

4o(1)(B) 9(a) 4n(4) 

4.22 4.22(a)(3) 4.22(b) 4.22(c) 

PERMANENT INJUNCTIO

KLITIN, OSCAR A. 97CV4973 E.D. N.Y 10/26/99 CONSENT ORDER FRO

U.S. BANKRUPTCY COURT 

KLONDIKE INTERNATIONAL INC. 

03 CV 7112 SD NY 8/24/2004 PERMANENT INJUNCTIO

KNACK, ROBERT L. 84-9 CFTC 05/15/84 4c(a)(A) 1.38(a) KNAUTH, JOSEPH B., JR. 04-15 CFTC 5/10/2004 4c(a)(A) & 

(B) 

COMMISSION ORDER 

189
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KNIGHT WEALTH INTERNATIONAL 

94-0220-C ND CA 07/28/94 4(a) PERMANENT INJUNCTI

KNIGHT WEALTH INVESTMENT 94-0220-C ND CA 01/21/94 4(a) COMPLAINT FILED 

KNIPPING, EDWARD K. individually and d/b/a TIME TRADERS INVESTMENT GROUP 

01-163-P-H D MA 7/23/02 SUPPLEMENTAL ORDE

KNOTKO, ANDREI 95-5416 SD NY 02/19/98 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

KNOWLES, STEVE 04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

KOBLICA, LEONARD F. 83-20 CFTC 03/30/83 4a(2)(B) 150.2 

15.04 150.11 150.12 

KOENIG, EMIL 75-4-603 D MN 01/09/76 4d(2) 

4f(2) 4g 4b(A) 4b(B) 4b(C) 

1.17(a) 1.20(a) 1.22 1.32 1.35(b) 1.35(a) 

PERMANENT INJUNCTI

KOENIG, STANLEY W. JR. 85-6 CFTC 04/29/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

KOERNER, WILLIAM 98-5 CFTC 01/23/98 4b(a) 

4d(1) 4d(2) 

1.20(c) 1.33 1.55 

190
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k(1) 9(a)(1) 

3.12 

KOH, MYUNG SUK 95-CIV-0919 ED NY 02/09/95 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

KOHLER, JAMES THOMAS JR. 78-16 CFTC 08/21/78 6(b) 

KOHLI, CHUCK 95-1598 D. NJ 2/29/00 4b(a)(ii) 

4c(b) 4o(1)(A) 4o(1)(B) 4m 4k(2) 

32.9 33.7(f) 33.10 

FINAL JUDGEMENT 

KOKES, ED 92-13 CFTC 11/05/92 4c(b) 

4k(3) 

1.56(c) 33.10 

KOKORIS, PAUL 78-55 CFTC 05/25/79 4c(b) 32.5(a) 

32.5(c) 32.7 32.9 

KOKORIS, PAUL 85-3169 SD FL 10/25/85 4(a) PERMANENT INJUNCTIKOLB, GERALD 76-20 CFTC 11/17/76 4b 

4c 

KOLB, GERALD 76-2095R CD CA 07/30/76 4b 

4c 

 PERMANENT INJUNCTI

KOLTER, THOMAS F. 93-19 CFTC 11/08/94 4b(a)(i) 

4c(b) 4o(1)(B) 6(c) 

33.10(a) 

KONIG, SALOMON 91-7008 SD FL 05/29/92 4e PERMANENT INJUNCTIKONKEL, MICHAEL JAMES 00-T-547-S M.D. ALA. 7/10/00 4b(a)(i) 4.41(a) PRELIMINARY 

191
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

individually and d/b/a VENTURE FUND, ICE CAPITAL MANAGEMENT, INC., AD ASTRA, INC., and THE INSCAPE FUNDS 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 

4.22 4.20(c) 4.21(a) 4.21(b) 

INJUNCTION 

KORBEAN INTERNATIONAL INVESTMENT CORP. 

95-CIV-0919 ED NY 02/09/95 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

KORBEAN LINE, INC. 95-CIV-0919 ED NY 02/09/95 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

KOROBOV, MICHAEL 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

KORSEN, STEVEN S. 81-14 CFTC 09/24/81 

KOSAR, MELANIE ROSE 90-6 CFTC 03/20/90 4b(A) 

4c(a)(A) 

1.38(a) 

192
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KOSUGA, VINCENT W. 77-1 CFTC 10/06/82 4c(a) 

KOTANSKY, RAYMOND D. 79-40 CFTC 04/01/80 6(b) 

KOURMOLIS, MICHAEL CV 03 3577 ED NY 7/23/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

KOWALSKI, CHUCK 99-1558-CIV-T-23F MD FL 07/06/99 32.9(a) 

32.9(c) 33.10(a) 33.10(c) 

COMPLAINT FILED 

KOZIOL, EDWIN A., JR. 99 C 2357 N.D. IL. 7/17/00 4b(a)(i) PERMANENT INJUNCTI

KRAEBEL, ROY E. 87-3276 (JWB) D NJ 08/11/87 4b(A) 

4b(B) 4b(C) 4d(1) 4d(2) 4m 4o(1) 

1.20 3.4 4.20(c) 

PERMANENT INJUNCTI

KRAMER, KENNETH 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

193
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

KRAUS, STEVEN C. 88-32 CFTC 09/30/88 166.3 KRAVITZ, MAURY A. 77-1 CFTC 05/26/78 4c(a) KREMKE, ROBERT CLAIR 82-44 CFTC 01/23/86 4k 1.10(b) KRISTUFEK, ROBERT S. 01-23 CFTC 9/12/02 6(c) 

6(d) 9(a) 4c(a)(A) 4c(a)(B) 

1.38 COMMISSION ORDER 

KRIVACEK, MICHAEL BRADLEY 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

KRON, DAN 84-10501 ND IL 09/16/85 4o(1) 

4(a)(1) 4(a)(2) 4b(A) 

PERMANENT INJUNCTI

KRON, DAN 85-26 CFTC 09/13/85 4(a)(i) 

4(a)(2) 4b(A) 4o(1) 

KRONISH, MARC 99-CV-2640 ED PA 10/04/99 4(a) 

4b(a) 4d 9(a)(1) 

PERMANENT INJUNCTI

KROSP, JAMES CECIL 79-03851 CD CA 09/16/82 4c(c) 

4c(b) 

PERMANENT INJUNCTI

KRUTE CORPORATION 03-2659 TJH CD CAL 4/16/03 4b(a)(2) 

4c(b) 4o(1) 4m(1) 4n(4) 

33.10 4.22 

COMPLAINT FILED 

KRUTE CORPORATION 03-2659 TJH CD CAL 12/13/2004 4b(a)(2)(i)&(i 

ii) 4c(b) 4o(1)(A)&(B) 

33.10 4.22(a) 

PERMANENT INJUNCTI

194
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4m(1) 

KRYSINSKI, KEITH WILSON 03C 8571 ND IL 8/3/2004 4b(a)(2)(i)­

(ii) 4d(a) 

PERMANENT INJUNCTI

KUHLIK, IRA W. 84-4056JS SD NY 06/26/84 4d(2) 

4f(2) 

1.17 1.20 

PERMANENT INJUNCTI

KUHLIK, IRA W. 85-8 CFTC 09/18/86 4c(a)(A) 

4c(a)(B) 4g 4e 

1.38 1.35 18.04 1.20(a) 

KURTA, BRUCE J. SD-94-17 CFTC 09/26/94 

KUVET, ERIC 85-7871-KN CD CA 12/05/88 

12/14/88 

4(a) 4b(A) 4b(C) 

PERMANENT INJUNCTI

KVISTAD, PAUL 85-29 CFTC 01/27/89 

KYLE, JOHN N. II 88-22 CFTC 03/29/91 4c(b) 33.7(d) 

33.10 

KYZNETSOV, SERGEY 04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

L R. ASSOCIATES, INC. 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

L. G. Z. MANAGEMENT, INC. 85-6936 SD FL 12/19/85 RESTRAINING ORDER L.A. FOREX, INC. 97-6800 CD CAL 03/02/98 4b(a)(i) 

4b(a)(ii) 4m(1) 

4.20 4.21 

PERMANENT INJUNCTI

195
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

LA BRUCE, NATASHA 03-80526 SD FL 6/11/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

LA TOURETTE, JOHN CV-98-N-1755-S ND ALA 07/07/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4k(2) 4o(1)(A) 4o(1)(B) 4n(4) 

4.20(c) 3.12(a) 4.21 4.22 4.24 4.25 4.26 

RESTRAINING ORDER 

LABARBIERA, VINCENT 84-21 CFTC 11/06/84 4e 

LABELL, STEVEN 04-60797 SD FL 6/21/2004 STATUTORY 

RESTRAINING ORDER 

LABELL, STEVEN 04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

LABIB, HANY 98-2 CFTC 07/15/99 4k(1) 3.12(a) 

1.57 1.35 

LACROSSE, CRAIG J. 90-20 CFTC 2/21/01 ALJ INITIAL DECISION 

196
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LACROSSE, CRAIG J. SD-91-6 CFTC 2/21/01 ALJ INITIAL DECISION LAGORIO, LEE CV04-6463 CD CAL 8/25/2004 PRELIMINARY 

INJUNCTION 

LAI, CHAN KOW a/k/a WILSON LAI 

02 CIV 5497 SD NY 5/26/2004 4(a) 

4b(a)(2)(C)(i ) & (iii) 

1.1(b)(1) & (3) FINAL JUDGMENT 

LAI, PETER T. 97-5 CFTC 01/12/99 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 4d(2) 4o(1) 4k(1) 9(a)(1) 

3.10 3.12 

LAKE STATES COMMODITIES, INC. 

94-C-4375 ND IL 07/19/94 4b(a)(i) 

4b(a)(ii) 4d(1) 4k(1) 4k(2) 4m(1) 4o(1) 

 COMPLAINT FILED 

LAKEN, GLENN B. SD-00-05 CFTC 2/8/01 COMMISSION ORDER LAKIN, DON SACV02-173 CD CAL 3/24/03 4b(a)(i) & 

(iii) 4(a) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

197
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LALLY COMMODITIES 85-40 CFTC 06/25/87 21.02 LAM, KWOK LUN CV 02-1417 CD CAL 6/18/03 4(a) PERMANENT INJUNCTILAMA, JESSE 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

LAMANTIA, SAM H. 79-52 CFTC 02/25/82 4c(a)(A) LAMAR, THOMAS W. 98-70619 ED MI 08/05/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4n(3)(B) 

4.20(a) 4.20(b) 4.20(c) 4.21(a) 4.22 4.30 4.31(b) 

PERMANENT INJUNCTI

LAMB, LAWTON B. 83-42 CFTC 05/12/83 4e LAMBERT, SCOTT A. SD-85-11 CFTC 07/23/85 

LAMBORN, ARTHUR H. III 78-10 CFTC 01/27/81 4(c) 

4b(B) 

LAMBORN, GEORGE 02-14 CFTC 6/6/03 4b COMMISSION ORDER 

LANDIN, ALFRED 78-31 CFTC 05/25/79 LANDIN, ALFRED 78-55 CFTC 05/25/79 4b 

4c(b) 4g 

32.5(a) 32.5(c) 32.7 

198
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o 32.8 

32.9 1.31 1.35 

LANDIN, ALFRED 78-8293 SD FL 06/05/79 4b 

4o(1) 

 PERMANENT INJUNCTI

LANE, GEORGE C. 92-26 CFTC 08/11/92 4k(1) 

LANER, STEVEN R. SD-96-7 CFTC 05/17/96 8a(3)(M) LANI, RICHARD SR. 02-14 CFTC 6/6/03 166.3 COMMISSION ORDER 

LAO, YUAN-YI 93-0088 ED NY 08/09/93 4(a) 

4b(A) 4d(1) 

3.10 PRELIMINARY 

INJUNCTION 

LAROCCA, ROBERT 04-80562 SD FL 6/21/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

LAROCQUE, JOHN PAUL SD-97-1 CFTC 11/26/96 8a(3)(M) 

LARSON, DONALD E. 81-4409 CD CA 01/20/82 4n 

4 4b 4h 4o 

PERMANENT INJUNCTI

LASPAGNOLETTA, RONALD 84-14 CFTC 06/22/84 4c(a)(A) 1.38(a) 

LASPAGNOLETTA, RONALD SD-94-15 CFTC 09/02/94 

LASSEN, JACK 03-767 FMC CD CAL 2/3/03 4(a); 

4b(a)(i)-(iii) 

1.1(b) COMPLAINT FILED 

LASSEN, JOHN 03-767 FMC CD CAL 5/28/2004 4b(a) 

4(a) 

PERMANENT INJUNCTI

199
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LAUBSCHER, DONNA 98-12 CFTC 04/09/98 14.8(c) 

LAUTENBACH, WESLEY B. SD-85-5 CFTC 01/11/85 LAVENDER, IRA MONROE 00-23 CFTC 6/29/00 4b(a)(i) 

4b(a)(iii) 4m(1) 4o(1) 

COMMISSION ORDER 

LAWRENCE, COLLINS & WEXLER, INC. 

80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

LAWRENCE, EMIL 79-28 CFTC 10/15/80 4c(b) 32.9 

LAWRENCE, EMIL 82-5 CFTC 01/31/84 6(b) 

LAWSON, KENNETH 02-14 CFTC 1/22/2004 4g 1.35 ALJ INITIAL DECISION 

LAWSON, ROBERT A. 85-72570 ED MI 09/16/86 4(a) 

4b(A) 

 PERMANENT INJUNCTI

LAWTON, GRANT 98-1 CFTC 05/24/99 4(a) 

4b(a)(iv) 4b(a)(i) 

LE VASSEUR POTATO CO., INC. 79-36 CFTC 08/24/81 4a(2)(B) 

6(b) 

150.10(a) 18.00 18.01 18.03 19.00 19.04 19.10 

LE VASSEUR, JOHN 79-36 CFTC 08/24/81 4a(2)(B) 150.10(a) 

200
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

6(b) 18.00 

18.01 18.03 19.00 19.04 19.10 

LEAF, DAHL AND COMPANY, LTD. 

83-2 CFTC 02/10/84 1.16(b)(2) 

1.10 1.16 1.16(d)(1) 1.17(c)(2) 1.17(c)(5) 1.16(e)(2) 

LEAVEN, CARL D. 77-1 CFTC 09/11/85 4c(a)(A) 1.38(a) LEAVITT, ALAN 85-1 CFTC 04/23/85 4b(A) 

4o(1) 

LECLAIRE, DAVID BENEDICT SD-93-18 CFTC 05/30/95 LEDOUX, DANIEL 01-7402 SD FL 8/23/2004 DEFAULT ORDER LEE, ANDREW M. 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTILEE, ANDREW M. 92-9 CFTC 12/09/91 4(a) LEE, CHANG H. 1:02CV2394 ND GA 8/28/02 EX PARTE STATUTORY 

RESTRAINING ORDER 

LEE, JOHN DANIEL 03-74206 ED MI 11/12/03 4b(a)(2)(i)­

(iii); 4c(b); 4o(1); 4m(1); 4k(2); 4n(4) 

33.10; 4.22; 4.24; 4.21 

PRELIMINARY INJUNCTION 

LEE, KENNETH J individually and d/b/a KJL INVESTMENT GROUP 

4:02CV01477 ED MO 3/9/2004 4b(a)(i)-(iii) 

4o(1) 4m(1) 

4.30 4.34 4.35 4.31 

PERMANENT INJUNCTI

LEIGH, MICHAEL 78-55 CFTC 05/25/79 4c(b) 32.3 

201
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.5(a) 32.5(c) 32.7 32.8(a) 32.9 

LEMIEUX, CHARLES 76-928 SD NY 04/09/76 4c(b) 30.01 PERMANENT INJUNCTI

LEMIEUX, CHARLES P. 77-550 WD MI 06/14/83 4c(b) 32.9 

32.5(a) 32.5(c) 32.5(d) 

PERMANENT INJUNCTI

LEMIEUX, CHARLES P. III 77-371T D MA 02/21/85 4c(b) 32.3(b)(1) 

32.7 32.3(b)(2) 32.3(a) 32.7(e) 

PERMANENT INJUNCTI

LEMIEUX, CHARLES P. III 77-6 CFTC 07/26/79 4c(b) 32.3 

1.18 1.31 32.7 

LEMMON, JASON 5:01CV1496 ND OH 4/30/02 4c(b) 

4m(1) 4o(1) 4k(2) 4n(4) 

32.9 32.11 33.3 32.5 3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

LENTON, HARRY 77-13 CFTC 03/23/78 9(b) 

6(b) 6(c) 4a 

150.10 

LENZ, HARRY E. JR. 78-6508 SD FL 06/28/79 LEONARD, BETTY 94-13 CFTC 05/24/95 4c(a)(A) 1.38(a) LEONARD, ROBERT 94-13 CFTC 05/24/95 4c(a)(A) 1.38(a) LERMAN, CHARLES SD-85-7 CFTC 06/07/85 LERMAN, LAWRENCE 92-22 CFTC 09/17/92 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

202
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LERNER, EDWARD 89-4 CFTC 12/13/91 4b(A) 166.3 

LEVENTIS, GEORGE D. 89-5 CFTC 05/11/90 4c(a)(A) 

4c(a)(B) 

1.38(a) 

LEVETTE, SANDRA 89-0915K SD CA 06/17/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

LEVINE, ARTHUR 78-4195EW SD NY 09/20/78 4k(1) 

4b 4d(2) 4f(2) 

1.17 1.20 

PERMANENT INJUNCTI

LEVINE, MARK H. 78-10 CFTC 04/16/79 4c(a) 

LEVINE, SCOTT JEFFREY 91-CIV-6136 SD FL 08/06/92 4b 

4c(b) 

33.7(f) 33.10 166.2 166.3 

PERMANENT INJUNCTI

LEVINE, SCOTT JEFFREY 92-23 CFTC 07/27/92 4b 

4c(b) 

33.7(f) 33.10 \166.2 166.3 

LEVITIS, ILYA 97-13 CFTC 2/4/00 4(a) 

4b(a)(i) 4b(a)(ii) 4b(a)(iv) 4d(1) 4d(2) 4k(1) 9(a)(1) 

1.20 3.12(a) 

COMMISSION ORDER 

LEVITIS, LEON 97-13 CFTC 2/4/00 4(a) 

4b(a)(i) 

1.20 3.12(a) 

COMMISSION ORDER 

203
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(ii) 4b(a)(iv) 4d(1) 4d(2) 4k(1) 9(a)(1) 

LEWIS, BRIAN 80-27 CFTC 01/18/83 4k LEXINGTON ROYCE & ASSOCIATES, INC. 

04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

LEXUS FINANCIAL GROUP, INC. 97-4 CFTC 2/17/00 4c(b) 166.3 

33.10 

COMMISSION ORDER 

LIBERTY FINANCIAL TRADING CORPORATION, INC. 

04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

LIBERTY FOREIGN INVESTMENTS GROUP INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

LIBERTY REAL ASSETS MANAGEMENT CORPORATION 

04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

LICHTENSTEIN, MICHAEL H. 85-6936 SD FL 12/19/85 RESTRAINING ORDER 

LIDA INTERNATIONAL FINANCIAL DATA 

94-1256 CD CA 10/03/96 4(a) PERMANENT INJUNCTI

LIEBERG, DENNIS C. 87-13 CFTC 05/11/88 4b(D) 

4c(a)(A) 4c(a)(B) 

1.38(a) 

LIGAMMARI, PATRICK P. 90-1 CFTC 04/17/90 4c(a)(A) LIGAMMARI, PATRICK P. 02-05 CFTC 12/17/03 4c(a) 1.38 ALJ INITIAL DECISION 

204
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LIGGIO, ANTHONY 79-28 CFTC 10/16/80 4c(b) 32.9 

LINCOLN FEDERAL INVESTMENT CORPORATION 

78-2240 WD TN 07/05/78 4c(b) 

4f 4g 

32.7 32.9 1.17 1.18 32.6 

PERMANENT INJUNCTI

LINCOLNWOOD COMMODITIES OF CALIFORNIA, INC. 

78-48 CFTC 01/31/84 4g(1) 

4d(2) 4f(2) 4f(1) 

1.37 1.20(a) 1.21 1.17 1.10 

LINCOLNWOOD COMMODITIES, INC. 

80-28 CFTC 01/25/91 4g1.37 

LINCOLNWOOD, INC. 84-4056JS SD NY 06/26/84 4d(2) 

4f(2) 

1.17 1.20 

PERMANENT INJUNCTI

LINCOLNWOOD, INC. 85-8 CFTC 02/21/86 4i 

6(b) 4d(2) 4d 

18.04 1.20(a) 1.28 

 

LIND, PHILIP 78-1069 SD FL 10/26/81 4c(b) 

4o(1) 

32.5(a) 32.8 32.9 30.01(c) 

PERMANENT INJUNCTI

LINDSEY, EDWARD CAMERON 1:01-cv-1107 ND GA 6/24/03 4c(b) 32.9 

32.5 32.11 33.3(a) 32.8(c) 

SUMMARY JUDGMENT 

LININGER, PATRICK 80-27 CFTC 05/12/83 4b 

4h 4k 

LINO INVESTMENT GROUP 94-0670 CD CAL 08/23/94 4(a) PERMANENT INJUNCTI

205
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LIONETTI, ROBERT V. 78-1692 SD FL 05/18/82 4c(b) 32.9 PERMANENT INJUNCTI

LIOU, NANCY 93-0067 CD CA 01/07/93 4(a) RESTRAINING ORDER 

LIPPSE, RODNEY A. 78-67 CFTC 02/12/79 

LIPTON, DANIEL 02-14 CFTC 10/25/02 4g 1.35(a-1)(2) COMMISSION ORDER 

LIT AMERICA, INC. 90-27 CFTC 07/16/91 4g(1) 

4i 6(b) 

17.00(a) 17.00(b) 17.00(d) 17.00(e) 17.01(a) 17.01(b) 17.01(d) 17.01(b)(2) 17.02(b)(2) 

LIT DIVISION OF FIRST OPTIONS OF CHICAGO 

98-16 CFTC 1/27/00 166.3 

4.41(b) 

COMMISSION ORDER 

LIT FUTURES LIMITED 90-23 CFTC 09/11/90 4c(a)(A) LITTLE, MICHAEL J. 77-19 CFTC 06/26/80 4o(1)( 

4f(2) 

30.02 1.17 

LITTLETON, GLEN E. 85-6 CFTC 01/03/86 4c(a)(A) 

4c(a)(B) 4g(1) 

1.35(d) 1.38(a) 

LITWACK, GREGORY 86-6778 SD FL 10/22/86 4c(c) PERMANENT INJUNCTIO

LIU, EDWARD T. 85-28 CFTC 01/21/87 4i 18.04 

15.01(c) 

LIU, HANK T. H. 92-259 ED NY 03/10/93 4(a) 

4b(A) 4d(1) 

PERMANENT INJUNCTI

LIU, JUSTIN SING 94-6 CFTC 11/23/93 4b(a)(i) 

4b(a)(ii) 4m 4o(1) 

4.30 4.41 

206
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

9(a) 

LIVOTI, GAVIN a/k/a GAVIN LAVOTE 

01-7402 SD FL 8/23/01 4c(b) 32.9 

32.11 33.3(a) 32.5 

COMPLAINT FILED 

LLOYD PROBBER & ASSOCIATES 

79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

LLOYD, CARR AND COMPANY 77-371T D MA 01/23/78 RESTRAINING ORDER LLOYD, CARR AND COMPANY 77-550 WD MI 06/14/83 4c(b) 32.9 

32.5(a) 32.5(c) 32.5(d) 

PERMANENT INJUNCTI

LLOYD, CARR AND COMPANY 77-6 CFTC 07/26/79 4c(b) 1.18 

1.31 32.3 32.7 

LLOYD, CARR FINANCIAL COMPANY 

77-371T D MA 01/07/82 

LLOYD, CARR FINANCIAL COMPANY 

77-6 CFTC 07/26/79 4c(b) 1.18 

1.31 32.3 32.7 

LOCKE, LIONEL WILLIAM 89-93-A2 D ND 05/08/91 4b(A) PERMANENT INJUNCTIO

LOCKE, SANDRA 89-93-A2 D ND 05/08/91 4b(A) PERMANENT INJUNCTI

207
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LOEB RHOADES AND COMPANY 

80-18 CFTC 04/01/80 4g(1) 1.35(a) 

1.31(a) 

LOEB RHOADES, HORNBLOWER AND COMPANY 

81-7 CFTC 02/09/81 4k(1) 

LOEHRMANN, ROBERT 92-6893 SD FL 01/27/93 4m 

4o 4d(1) 4k(1) 4k(2) 4b(A) 4b(B) 4c(b) 

4.13 33.10 4.21 

PERMANENT INJUNCTI

LOEWINGER, ROBERT 81-5 CFTC 01/15/82 

LOFGREN, JOHN MARTIN 02 C 6222 ND IL 8/30/02 STATUTORY 

RESTRAINING ORDER 

LOFGREN, JOHN MARTIN SD 04-09 CFTC 9/29/2004 COMMISSION ORDER LOHAN, MICHAEL 86-0770 ED NY 04/01/87 4b(A) 

4d(1) 4d(2) 4m(1) 4o(1) 

1.20 3.4 4.20(c) 4.21(a) 

PERMANENT INJUNCTI

LOHAN, MICHAEL J. 89-2778MAC ED NY 08/31/89 4b(A) 

4d(1) 4d(2) 4o(1) 9(a) 

1.20 3.4 4.20(a) 4.20(b) 4.20(c) 4.41(a) 

PRELIMINARY INJUNCTION 

LONDON COMMODITY HOUSE, INC. 

77-4 CFTC 07/19/77 4c(b) 32.9 

LONDON FINANCIAL, INC. 97-12 CFTC 8/14/00 4b(a)(i) 

4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

208
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LONDON METAL EXCHANGE 92-443E(M) SD CA 07/15/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

LONDON, ALBERT O. 79-20 CFTC 07/22/85 LONDON, JOHN C. JR. 88-3 CFTC 11/17/87 4b(A) 1.56(c) 

18.04(d) 

LONG POINT INVESTMENTS, LLC 

6:03CV42 ED TX 6/9/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1) 1.1(b)(3) 

PERMANENT INJUNCTI

LONG, MICHAEL SCOTT 92-16 CFTC 10/26/92 4b 166.2 

LOPEZ, RAY P. 79-41 CFTC 04/07/81 4c(b) 

4c(c) 

32.1 

LOVE, CAROL J. 2:00CV00622ST D. UT 9/25/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 

4.20(a) 4.20(c) 

PRELIMINARY INJUNCTION 

LOVE, JAMES SPENCER JR. 76-928 SD NY 03/01/76 4c(b) 

4m 4o 

30.01 PERMANENT INJUNCTI

LOVE, RICHARD STRATTON 92-6427 SD FL 10/18/93 4b(a) 

4c(b) 4o 

33.7(f) 33.10 4.31(g) 4.41(a) 166.3 

PERMANENT INJUNCTI

209
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LOVE, RICHARD STRATTON 94-2 CFTC 10/21/93 4b(a) 

4c(b) 4o 

4.31(g) 4.41(a) 33.7(f) 33.10 166.3 

LOVITT, ALLEN B. 76-9 CFTC 02/13/76 LOWRANCE, RICHARD M. SD-91-8 CFTC 10/11/94 LOYD, DAVID MICHAEL 99-6560-CIV S.D. FL. 7/13/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4k(2) 4o(1) 4n(4) 

4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

LPA FUNDING ASSOCIATES, LTD. 

79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

LU, HAO JAN CV03-8339 CD CAL 11/18/03 EX PARTE RESTRAININ

ORDER 

LUBASH, ROBERT 79-26 CFTC 06/15/84 LUDWIG, HAROLD 04-19 CFTC 7/13/2004 4b(a)(2)(i) & 

(iii) 4o(1) 

COMMISSION ORDER 

LUGER, DAVID A. 02-80435 SD FL 6/3/02 EX PARTE STATUTORY 

RESTRAINING ORDER 

LUGER, DAVID ALAN 97-4 CFTC 2/17/00 4c(b) 166.3 COMMISSION ORDER 

210
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

33.10 

LUNMAN, KYLER F., II 99-4 CFTC 2/11/2004 4b(a)(i)-(iii) COMMISSION ORDER LUNMANN II, KYLER F. 99-4 CFTC 12/22/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 13(a) 2(a)(i)(A) 13(b) 

 COMPLAINT FILED 

LUX, THOMAS D. 96-10 CFTC 09/25/96 1.16(c)(5) 

1.16(d)(1) 1.16(e)(2) 

LUXENBURGER, PHILIP L. 97-2 CFTC 06/30/97 1.37(a) AMENDED COMPLAINT 

FILED 

LYLE, ARTHUR G. SD-87-2 CFTC 09/10/87 

LYNCH, NORBERT 81-15 CFTC 04/22/83 4n(1) 

4o(1) 4b(A) 4n(3) 

1.10(c) 1.14(a) 4.21(a) 4.24 1.31 4.23(a) 1.10(d) 4.21(b) 

LYNN, GARY 78-1069 SD FL 01/17/83 166.3 PERMANENT INJUNCTI

LYNNEWOOD EXPORT CORPORATION 

77-15 CFTC 01/10/84 4a 

6(b) 6(c) 9(b) 

150.10 

LYNNWOOD JEN CV03-8339 CD CAL 5/10/2004 COMPLAINT FILED 

LYONS, FREDERICK B. 85-11 CFTC 07/30/85 4m 4.31(a) 

211
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4.31(d) 4.31(f)(1) 

MACDONALD, GORDON 78-0122 WD MO 12/20/78 4o PERMANENT INJUNCTIMACDONALD, GORDON 80-21 CFTC 02/23/82 4b 

4o 

MACGREGOR FINANCIAL SERVICES, INC. 

84-28 CFTC 02/08/85 4m 

4b 13(a) 4o(1) 

MACLEOD, WINFORD 87-12 CFTC 08/05/87 4b(A) 

4b(B) 4b(C) 4m 4o(1) 

MACRO INTERNATIONAL GROUP 

85-41 CFTC 01/27/86 4f(1) 21.02 

MAD FINANCIAL, INC. a/k/a MEYERS, ARNOLD, AND DAVIDSON FINANCIAL, INC. 

02-60239 SD FL 7/14/2004 SUPPLEMENTAL ORDE

MADDEN, TERRENCE P. 89-5 CFTC 10/19/90 MADEO, FRANCO SD-93-4 CFTC 02/26/93 8a(3)(E) 

8a(3)(G) 

MADISON DEAN & ASSOCIATES, INC. 

03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MADISON DEAN ASIA CORPORATION 

03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MADISON FINANCIAL GROUP, LLC 

01-09 CFTC 8/28/02 4c(b) 33.10 

166.3 

COMMISSION ORDER 

MADUROS, ANN 84-24 CFTC 04/30/85 1.38(a) 

MADY FUNDING COMPANY, LLC 02-72394 ED MI 6/11/02 4c(b) 

4m(1) 

4.20(c) 33.10 

PRELIMINARY INJUNCTION 

212
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

MADY FUTURES INC. 02-72394 ED MI 6/11/02 4c(b) 

4m(1) 4o(1) 

4.20(c) 33.10 

PRELIMINARY INJUNCTION 

MADY, CHARLES G. 02-72394 ED MI 11/6/03 4c(b) 

4o(1) 4m(1) 

PERMANENT INJUNCTI

MAGID, HAROLD JAY 93-4 CFTC 04/18/95 4c(a)(A) 

4c(a)(B) 

1.38 

MAGNUM CAPITAL INVESTMENTS, LTD. 

04CV1512 D NJ 6/24/2004 COMPLAINT FILED 

MAGNUM INVESTMENTS, LTD. 04CV1512 D NJ 6/24/2004 COMPLAINT FILED 

MAHAN, CAROLYN SUE 79-9 CFTC 05/29/79 

MAIN STREET INVESTMENT GROUP, INC. 

94-661-CIV MD FL 04/01/96 4b(a)(i) 

4m(1) 4o(1) 

4.20 1.31 4.21 

PERMANENT INJUNCTI

213
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

9(a)(1) 4n(3)(A) 4n(3)(a) 

4.22 

MAINIERO, GARY J. 89-27 CFTC 03/31/92 4a(5) 

6(b) 4i 

18.04 

MAIRS, WILLIAMS N. JR. 78-9 CFTC 05/04/79 

MAKRIS, GEORGE E. 78-23 CFTC 05/03/78 MALCOLMSON, ERIC SCOTT 04-80862 SD FL 9/13/2004 COMPLAINT FILED 

MALTBY, DANIEL P. 84-43 CFTC 11/08/84 4e 

4g(1) 

1.35(a) 

MAN INTERNATIONAL FUTURES, INC. 

85-44 CFTC 09/27/85 4c(a)(B) 

MANCINO, JOSEPH J. 90-1 CFTC 04/17/90 166.3 MANFRE, PAUL 97-13 CFTC 2/4/00 4(a) 

4b(a)(i) 4d(1) 4k(1) 

3.12(a) COMMISSION ORDER 

MANN, GEOFFREY L. 99-S-1874 D COL 5/1/03 ORDER 

MANSEAU, PAUL E. 79-28 CFTC 10/15/80 4c(b) 32.9 

32.3(b) 

214
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MANTICORE RESOURCES 93-C1022E ND OK 12/11/98 9(a)(1) PERMANENT INJUNCTIMARANTETTE, DAVID T., III CV99-00653 D. HAW 2/21/01 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4m(1) 4o(1) 

4.20(c) 4.41(a) 4.41(b)(i) 4.41(b)(ii) 33.10(a) 33.10(c) 

PERMANENT INJUNCTI

MARCH, ARIC H. 91-4 CFTC 01/28/91 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

MARCHIANO, JOSEPH J. 95-15 CFTC 11/22/96 166.3 

MARCHIANO, JOSEPH J. 98-6564 S.D. FL. 11/24/99 4f(a) 

4k(1) 

3.10(a)(2)(i) FINAL JUDGEMENT 

215
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k(5) 

MARCUS, H. ROBERT 90-1 CFTC 10/10/89 4c(a)(A) 

4g 

1.31(a)(1) 1.35(a) 

MARDER, NORRIS 86-0099 SD FL 01/21/86 4(a) PERMANENT INJUNCTIMARGOL, STEPHEN 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

MARGULIES, DAVID 81-4409 CD CA 06/10/82 4 

4h 4n 4b 4o 

PERMANENT INJUNCTI

MARICOPA CAPITAL MANAGEMENT, L.C. 

00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

MARICOPA ECLIPSE PARTNERS, LTD. 

00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

MARICOPA FINANCIAL CORP. 00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

MARICOPA INDEX HEDGE FUND, LTD. 

00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

MARICOPA INTERNATIONAL 00-CIV-1317 S.D. N.Y. 2/24/00 4b PRELIMINARY 

216
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INVESTMENT CORP. d/b/a MARICOPA INVESTMENT CORP. 

4o(1) INJUNCTION & SRO 

MARICOPA INVESTMENT FUND, LTD. 

00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

MARICOPA OVERSEAS, LTD. 00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

MARINGER, HENRY 86-36 CFTC 09/30/86 166.3 

MARISIE, RICHARD 99-17 CFTC 4/10/00 4g 1.35(a-1)(1) 

1.35(a-1)(2) 

COMMISSION ORDER 

MARISTELA, MARIA CECILLE 03-12 CFTC 6/6/03 4(a) COMMISSION ORDER 

MARITOTE, FRANCIS 95-1 CFTC 03/04/98 4c(a)(A) 

4c(a)(B) 

1.38(a) 

MARK, GERALD L. 85-21 CFTC 09/18/85 4k 3.12 

MARKET CAPITAL GROWTH, INC. 

3:98CV0281AS N.D. IND. 12/8/99 4b(a)(i) 

4b(a)(ii) 4m(1) 

4.20 PERMANENT INJUNCTI

217
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

MARKET EXCHANGE INDEX 88-C-3188 ND OK 05/22/89 4b(A) 

4o(1) 4m(1) 

4.23 4.21 4.22(c) 4.22(d) 4.22(e) 4.22(a) 

PERMANENT INJUNCTI

MARKET TIMER 78-65 CFTC 01/24/83 4b 

4o 

MARKHAM & CO., a Nevada Corporation d/b/a BRITISH CAPITAL GROUP, LTD. 

03 C 4346 ND IL 6/24/03 STATUTORY EX PARTE 

RESTRAINING ORDER 

MARKIEWICZ, NORBERT R. SD-82-5 CFTC 06/08/82 MARKIN, JULIE A. 77-21 CFTC 09/08/80 4b 

MARKS, LOUIS H. 87-11 CFTC 07/28/87 4b(A) 

4d(2) 4f(2) 4g(1) 4k(1) 9(a) 

1.17(a) 1.20(a) 1.20(c) 1.32 1.35(a-1) 3.12(a) 17.00(a)(1) 17.01(b) 17.01(c) 

MARKS, STEVEN JAY 96-9 CFTC 09/03/96 4m 4.31 

4.36(d) 

MARQUIS FINANCIAL MANAGEMENT SYSTEMS, INC. 

03-74206 ED MI 11/12/03 4b(a)(2)(i)­

(iii); 4c(b); 4o(1); 4m(1); 4k(2); 4n(4) 

33.10; 4.22; 4.24; 4.21 

PRELIMINARY INJUNCTION 

MARREN, JAMES M. 93-16 CFTC 06/26/97 4b(a)(iv) 

MARRON, PETER S. 86-6 CFTC 03/02/93 4b(A) 166.3 

218
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MARSH, WILBUR 86-8 CFTC 02/24/86 4g 

13(a) 

1.31(a)(1) 1.35(a) 1.35(a-1)(1) 

MARSHBURN, KEVIN 97-8 CFTC 11/18/03 4b(a)(i)-(iii) 

4g 

1.31(a) 1.35(a) 1.35(a-1)(1) 

COMMISSION ORDER 

MARTIN, EDWARD d/b/a BLACK GOLD INTERNATIONAL 

00-30 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4c(b) 4o(1) 

4.41(a) 4.41(b) 33.10(a) 33.10(c) 

COMMISSION ORDER 

MARTIN, MICHAEL RICHARD 00-26 CFTC 8/7/00 4g 1.35(a-1)(1) COMMISSION ORDER 

MARTIN, RICHARD P. 88-2 CFTC 11/10/87 4k(1) 

4k(2) 

MARTINSON, RICHARD 80-315 SD FL 10/07/81 4o(1) PERMANENT INJUNCTI

219
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MARTURANO, PAUL 93-5 CFTC 03/02/93 4c(a)(A) 

4c(a)(B) 

1.38(a) 

MARX, MOSES 86-12 CFTC 02/24/86 4g 1.35(a-1) MAS FX LLC f/n/a MAS FINANCIAL SERVICES, INC. 

SACV02-173 CD CA 2/28/02 4b(a)(i) 

4b(a)(iii) 4(a) 

1.1(b)(1) COMPLAINT FILED 

MASERI, RICHARD E. 95-6970 SD FL 11/05/98 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 4d(1) 9(a)(1) 

4.21 4.31 

PERMANENT INJUNCTI

MASON, STEVEN SCOTT SD-93-1 CFTC 12/29/92 

MASS MEDIA MARKETING INC. 97-1492 SD FL 

MASS. COMMODITY INC. 80-3 CFTC 02/26/82 4m 

4o 

MASSARO, JAMES W. 82-777 ND NY 09/17/82 4b(A) 

4o(1) 

4.30 4.31 4.41 

PERMANENT INJUNCTI

MASSARO, JAMES W. 83-34 CFTC 07/07/83 4b(A) 

4o(1) 

4.30 4.31(a) 4.31(b) 4.41 

MATEJKA, MICHAEL THOMAS 98CIV5588 SD NY 05/11/99 

220
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MATHAS, PAUL E. 79-45 CFTC 04/01/82 MATRIX TRADING GROUP, INC. 00-08880 CIVZLOCH S.D. FL. 12/4/00 TERMPORARY RESTRAINING ORDER 

MATRIX, STEVEN 04-01 CFTC 10/2/03 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

MATROS, STUART 76-20 CFTC 11/17/76 4b 

4c 4k 

MATTHEWS, JOHN 94-13 CFTC 01/23/96 4c(a)(A) 1.38(a) 

MATTOS, JORGE 05-06 CFTC 12/22/2004 4c(a) 1.38(a) COMMISSION ORDER 

MATTOX, MARCUS 76-20 CFTC 07/06/77 4b 

4k 

MAWHINNEY, MICHAEL SD-95-7 CFTC 01/17/95 

MAX GROW JAPAN COMPANY, LTD. 

90-1 CFTC 05/04/90 4c(a)(A) 

MAXWELL, ROBERT 87-2591HAA D NJ 10/22/93 4b(a) PERMANENT INJUNCTIMAYE COMMODITIES, INC. 92-21 CFTC 02/25/98 4b(A) 

4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

MAYER, BARRY 92-21 CFTC 02/25/98 4c(a)(A) 

4c(a)(B) 4g(1) 

1.31(a) 1.35(d) 1.38(a) 

MAYER, LEON 78-60 CFTC 08/28/81 6(b) 

221
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MAYERS, TERI LYNN 89-25 CFTC 08/03/90 6(b) MAYNE, RANDALL T. 88-6 CFTC 02/13/90 4c(a)(B) 1.38(a) 

MAYNE, RANDALL T. 88-7 CFTC 08/21/89 4g 1.35(d) 

MAYRSOHN, CASPER 77-15 CFTC 08/09/77 9(b) 

4a 6(b) 6(c) 

150.10 

MAZEN, ABDELDAYEM 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MAZUMA TRADING GROUP, INC. D/B/A PINPOINT MARKETING LTD. 

3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

MAZZARA, FRANK J. 93-2 CFTC 06/30/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

MCBRIDE, MATTHEW T. SD-96-3 CFTC 02/12/96 8a(3)(E) 

MCCABE, EDWARD 86-36 CFTC 03/27/87 4b(A) 1.56(c) 

30.02 166.3 

MCCAFFERY, GEORGE 77-4 CFTC 07/19/77 4c(b) 32.9 

MCCALMAN, HERBERT DUVALLE 

80-4801 CD CA 03/19/81 4b 

4 4h 4m 4o 

PERMANENT INJUNCTI

222
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MCCARTHY, GEORGE J. 89-25 CFTC 08/03/90 4a(5) 

4i 6(b) 

18.04(a)(6) 18.04(a)(8) 18.04(d)(i) 18.04(d)(ii) 

MCCARTHY, WILLIAM J. 87-934-RE D OR 09/01/87 4(a) PERMANENT INJUNCTI

MCCOLLUM, JOHN J. 97-14 CFTC 08/13/97 4o(1) 166.3 

MCCONNELL, HOWARD J. 83-C5141 ND IL 08/24/83 4b 

4d 4g 

PERMANENT INJUNCTI

MCCORKELL, GARY LYNN 94-12 CFTC 11/02/94 4b(a)(i) 

4b(a)(ii) 4m 4n(3)(A) 4o(1) 9(a)(1) 

1.31 4.20(a) 4.20(b) 4.20(c) 4.23 

MCDINE & ASSOCIATES SD-94-8 CFTC 04/18/94 8a(2)(C) 

MCDINE & ASSOCIATES FUTURES FUND LTD. PARTN 

92-459-C-1 SD OH 06/11/92 PRELIMINARY 

INJUNCTION 

MCDINE & ASSOCIATES, INC. 92-459-C-1 SD OH 10/13/93 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.21(g)(1) 4.20(c) 

PERMANENT INJUNCTI

MCDINE LIMITED PARTNERSHIP 

92-459-C-1 SD OH 06/11/92 PRELIMINARY 

INJUNCTION 

223
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MCDINE, DAVID D. 92-459-C-1 SD OH 10/13/93 4b(a)(i) 

4b(a)(ii) 4o(1) 4d(1) 

4.21(g)(1) 4.20(c) 

PERMANENT INJUNCTI

MCDINE, DAVID DIRK SD-94-8 CFTC 04/18/94 8a(2)(C) MCFARLIN, JOHN K. 92-8 CFTC 12/09/91 4b(A) 

4o(1) 4m(1) 

MCGEE, KAI KAMAKANI SD-92-4 CFTC 11/17/92 8a(3)(J) MCGHEE, ANDREW 83-4 CFTC 05/30/86 4b(A) 

4d(2) 4g(1) 9(a) 

1.20(a) 1.35 166.3 

MCGHEE, FRANK H. 83-4 CFTC 05/30/86 4b(A) 

4d 4d(2) 4g(1) 4g(2) 9(a) 

1.20(a) 1.31 1.32 1.35 1.35(b)(1) 

MCGIVNEY, JOSEPH P. SD-87-3 CFTC 12/18/90 

MCGIVNEY, JOSEPH P., SR. 99 C 2357 N.D. IL. 7/17/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(a)(i) 4.20(c) 4.21 

PERMANENT INJUNCTI

MCGIVNEY, MARITA 99 C 2357 N.D. IL. 7/17/00 ORDER OF EQUIABLE 

RELIEF 

224
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MCGOLDRICK, NEIL T. 91-3 CFTC 07/29/97 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

MCGRATH, F. PATRICK 75-4-603 D MN COMPLAINT FILED MCGUINESS, EVELYN M. 78-34 CFTC 12/01/80 6(b) MCINTOSH, RONALD J. 85-1555 ND CA 06/10/88 

08/29/91 

4(a) 4b(A) 4b(C) 

PERMANENT INJUNCTI

MCLAURIN, ZEBEDEE V. 95-C-0285 ED IL 07/01/96 4b(a)(i) 

4b(a)(ii) 

PERMANENT INJUNCTI

MCNAIR, WILLIAM A. 78-10 CFTC 01/27/81 4g 1.35 

MCPHERSON, JOHN A. 99-6 CFTC 3/9/00 4c(b) 

4d(1) 

1.33(a) 1.55 32.3 33.3(b) 

COMMISSION ORDER 

MCVEAN TRADING & INVESTMENTS 

94-4 CFTC 11/02/93 4a(e) 

4g(a) 6(c) 

1.35(a-1)(1) 17.00(a) 17.01(b) 18.04(a) 166.2 

MCVEAN, CHARLES DOW 94-4 CFTC 11/02/93 4a(e) 

4g(a) 6(c) 

1.35(a-1)(1) 17.00(a) 17.01(b) 18.04(a) 166.2 

MCVEY WHITNEY, INC. 86-H-2284 SD TX 02/24/88 4(a) PERMANENT INJUNCTI

MDSK ASSOCIATES, INC. 92-00361 D CT 08/06/92 4(a) PERMANENT INJUNCTI

225
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MECA INTERNATIONAL INC. 96-74525 ED MI 05/20/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4m 4k(2) 4o(1)(B) 9(a)(1) 4n(4) 

4.21(a) 4.21(b) 4.22 4.20(c) 

PERMANENT INJUNCTI

MECKLENBURG, FREDERICK 88-3 CFTC 11/17/87 1.56(c) MEEK, DAVID W. 84-6495-JE SD FL 07/01/85 

04/01/86 

4n(3)(A) 1.31 

4.23 4.32 

PERMANENT INJUNCTI

MEEK, DAVID W. 85-6451 SD FL 06/09/92 4m 

4o 

 PERMANENT INJUNCTI

MEGA TREND 2000 INC. 02-6619 CD CAL 5/11/2004 4(a) DEFAULT ORDER MEGA TREND 2000, INC. 02-6619 CD CA 8/23/02 STATUTORY 

RESTRAINING ORDER 

MEGATECH FINANCIAL SERVICES, INC. 

84-10501 ND IL 09/16/85 4o(1) 

4(a)(1) 4(a)(2) 4b(A) 

PERMANENT INJUNCTI

MEGATECH FINANCIAL SERVICES, INC. 

85-26 CFTC 09/13/85 4(a)(1) 

4(a)(2) 4b(A) 4o(1) 

MEHMEDOVIC, IZMIR 04-23 CFTC 8/24/2004 4b(a)(1)(i) & 

(iii) 

COMMISSION ORDER 

MEIERFIELD, GILBERT 80-28 CFTC 05/04/82 4b 

4c(a) 

1.38(a) 

226
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MEKERTICHIAN, EDMOND 92-21 CFTC 12/16/92 4c(a)(A) 

4c(a)(B) 

1.38(a) 

MEL SCHNELL COMPANY 86-7 CFTC 02/24/86 1.35(a-1)(2) 

MELIN, MARK 04-28 CFTC 9/30/2004 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

MELROSE ASSET MANAGEMENT CORP. 

02 C 6222 ND IL 8/30/02 STATUTORY 

RESTRAINING ORDER 

MELROSE ASSET MANAGEMENT CORPORATION 

SD 04-10 CFTC 9/29/2004 COMMISSION ORDER 

MELROSE FUND, LLC 02 C 6222 ND IL 8/30/02 STATUTORY 

RESTRAINING ORDER 

MENDOZA, ROBERT 6:03CV42 ED TX 6/15/2004 CONSENT ORDER MENKES, MICHAEL S. 78-41 CFTC 09/22/81 MENKES, MICHAEL S. 80-15 CFTC 02/28/83 4b 

4o 

MERCHANTS TRADING COMPANY 

89-25 CFTC 08/03/90 4g(1) 

6(b) 

17.00(b) 17.01(b)(7) 17.01(b)(7) 17.02(b)(2) 166.3 

MERCHANTS TRADING 90-10 CFTC 04/24/90 166.3 

227
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

COMPANY MERDINGER, STANLEY 79-0827 SD NY 10/05/82 4c(b) 

4c(c) 

32.3 32.9 32.11 

PERMANENT INJUNCTI

MEROLLA, PAUL 01-07 CFTC 1/10/01 4c(a)(A) 

4c(a)(B) 4c(b) 4g(a) 

1.35(d) 1.38 33.10 

COMMISSION ORDER 

MERRILL LYNCH & CO., INC. 99-11 CFTC 05/20/99 6(c) 

6(d) 9(a)(2) 

 COMPLAINT FILED 

MERRILL LYNCH FUTURES 97-10 CFTC 06/24/97 4c(a)(A) 1.37(a) 

MERRILL LYNCH FUTURES, INC. 

85-44 CFTC 09/27/85 4c(a)(A) 

4c(a)(B) 

1.38 

MERRILL LYNCH FUTURES, INC. 

85-48 CFTC 09/30/85 4b 

4g 

1.33 1.37 166.2 166.3 

MERRILL LYNCH FUTURES, INC. 

85-6 CFTC 11/14/85 4c(a)(A) 

4c(a)(B) 

1.38 166.3 

MERRILL LYNCH FUTURES, INC. 

88-13 CFTC 03/22/88 4g(1) 1.31(a)(1) 

1.31(a)(2) 1.35(a) 1.35(a-1)(2) 166.3 

MERRILL LYNCH INTERNATIONAL, INC. 

99-11 CFTC 06/30/99 6(c) 

6(d) 9(a)(2) 

MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 

88-13 CFTC 03/22/88 4b(A) 

4g(1) 

1.31(a)(1) 1.31(a)(2) 1.35(a) 1.35(a-1)(1) 1.35(a-1)(2) 166.3 

MERRILL LYNCH, PIERCE, FENNER, AND SMITH 

86-8 CFTC 02/24/86 4g 1.31(a)(1) 

1.35(a) 

228
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.35(a-1)(1) 

MERSCH, FREDERIC J. 01-02 CFTC 11/7/00 4a(e) 

4i 6(c) 

18.04(a)(5) 18.04(a)(9)(ii 18.04(d) 

COMPLAINT FILED 

MERWIN, JOHN 76-20 CFTC 11/17/76 4b MERWIN, JOHN 76-2095R CD CA 07/30/76 4b PERMANENT INJUNCTI

MESSINA, JOHN 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

METALLICO 86-1479G ND TX 06/16/86 4c(c) 

4c(b) 

PERMANENT INJUNCTI

MEYERS, BARBARA 80-27 CFTC 01/09/84 4b 

4h 4k 

MG FUTURES, INC. 95-14 CFTC 07/27/95 1.10(b)(1)(i) 

1.12(d) 

MG REFINING & MARKETING, INC. 

95-14 CFTC 07/27/95 4(a) 

MICHAEL EDWARDS TRADING GROUP, LTD. 

03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MICHELETTO, JAMES D. SD-90-1 CFTC 03/27/90 

MICHELETTO, JAMES D. SD-95-15 CFTC 04/10/95 

MICHNO, KAZIMIR 82-27 CFTC 09/12/86 4b(A) 

4b(B) 4b(C) 4d(1) 4d(2) 

1.7 1.20(a) 4.20 4.21(a) 4.21(b) 

229
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4h(2) 4n(3)(A) 4n(4) 4o(1) 

4.21(c) 4.22(a) 4.21(g) 4.22(n) 4.23 1.31 1.25 1.22 1.20 1.12 

MICHNO, KAZIMIR 90-16 CFTC 04/22/91 6(b) 

8b 4k(3) 

4.31 

MID ATLANTIC OIL EXCHANGE 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

MIDAMERICA COMMODITY EXCHANGE, INC. 

77-20 CFTC 08/16/77 5a(8) 1.51 

1.53 

MID-AMERICAN MONETARY EXCHANGE INC. 

85-72563 ED MI 11/01/85 4(a) PERMANENT INJUNCTI

MIDLAND RARE COIN EXCHANGE, INC. 

97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

MID-SOUTH COAL, INC. 81-2250-W WD TN 06/10/81 4 

4h 4b(A) 4b(C) 4o(1) 

PERMANENT INJUNCTI

MIDWEST COMMODITY CORPORATION 

83-40 CFTC 09/21/83 4o(1)(B) 

4n(4) 

4.22(a) 4.22(b) 4.22(c) 

MILANO, MICHAEL 80-30 CFTC 06/23/87 4b 

4c(a) 

1.38(a) 

230
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DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MILLBRAE SUN HING BULLION 92-9 CFTC 12/09/91 4(a) 

4b(A) 

MILLBRAE SUN HING BULLION LIMITED 

90-5214R CD CA 12/17/91 4(a) 

4b(A) 

 PERMANENT INJUNCTI

MILLER, BRUCE 02-14 CFTC 12/30/03 4b(a)(i) 

4b(a)(iii) 

ALJ INITIAL DECISION 

MILLER, HOWARD 92-4 CFTC 7/23/2004 COMMISSION ORDER 

MILLER, LEON FRANCIS JR. 87-06486R CD CA 10/11/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

MILLER, STEPHEN A. 85-13 CFTC 07/03/85 4i 

4c(b) 

15.01(c) 18.04 33.2(a) 

MILLER, STEPHEN W. 80-4 CFTC 06/20/84 13(a) 

4d(2) 4f(2) 4g(1) 4g(3) 4g(4) 

1.20(a) 1.26(a) 1.28 1.17 1.32 1.23 1.33 1.33(a) 1.35(a-1) 

MILLER, THOMAS T. 1:00 CV 0300 ND IND 2/12/03 4o(1)(B) PERMANENT INJUNCTI

231
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MILLER, THOMAS T. SD 03-04 CFTC 5/2/03 COMMISSION ORDER 

MILLS, ADAM 04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

MILLS, MAURICE L. CV02-2076 WD WA 10/3/02 4b(a)(i) 

4b(a)(iii)

 PRELIMINARY 

INJUNCTION 

MIMS, GERALD D. 92-522 MD FL 05/07/93 4b 

4d(1) 4m(1) 4o 

PERMANENT INJUNCTI

MIMS, GERALD D. 93-7 CFTC 05/11/93 4b 

4d(1) 4m(1) 4o 

MINI-SYSTEMS, INC. 75-4-603 D MN 01/09/76 4d(2) 

4f(2) 4g 4b(A) 4b(B) 4b(C) 

1.17(a) 1.20(a) 1.22 1.32 1.35(a) 1.35(b) 

PERMANENT INJUNCTI

MINNEAPOLIS COMMODITIES, INC. 

75-4-603 D MN 01/09/76 4d(2) 

4f(2) 4g 4b(A) 4b(B) 4b(C) 

1.17(a) 1.20(a) 1.22 1.32 1.35(a) 1.35(b) 

PERMANENT INJUNCTI

MINNEAPOLIS GRAIN EXCHANGE 

88-27 CFTC 09/20/88 5a(8) 1.51 

1.53 8.06 

232
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MINTZ-MARCUS-GOLD & CO. 86-9 CFTC 02/24/86 1.31 

1.35(a) 1.35(a-1)(2) 1.35(a-1)(4) 

MIRAGLIA, BERNARD 94-13 CFTC 7/15/2004 4c(a)(1) 1.38(a) COMMISSION ORDER 

MIRANT AMERICAS ENERGY MARKETING, LP 

05-05 CFTC 12/3/2004 9(a)(2) COMMISSION ORDER 

MIRONOV, ALEXEY SACV 03-1454-JVS CD CAL 10/15/03 4b(a)(2)(i) & 

(iii) 4f(b) 

1.17(a)(1) & (4) PRELIMINARY 

INJUNCTION 

MISCHLER, JEFFREY A. 04-2181 WD TN 3/17/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

MISHRICK, SHUKRY 83-55 CFTC 12/02/83 MITCHEL, ROBERT J. 97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

MITCHELL, KEVIN 90-0332 CD CA 01/28/93 4c(b) 32.11 PERMANENT INJUNCTI

MITCHELL, ROBERT J. 97-7422 SD FLA 10/20/99 4b(a)(2) PERMANENT INJUNCTI

233
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MITRA, KEN 02-1783 D MN 3/26/2004 4b(a)(i) - (iii) 

4o(1)(A) & (B) 4m(1) 4k(2) 

4.24 4.25 

PERMANENT INJUNCTI

MITSOPOULOS, CONSTANTINE 99-17 CFTC 8/31/00 4g 1.35(a-1)(1) 

1.35(a-1)(2) 166.3 

COMMISSION ORDER 

MITSUBISHI INTERNATIONAL CORP. 

97-10 CFTC 06/24/97 4c(a)(A) 

MITTELSTADT, BRUCE W. SD-95-17 CFTC 06/27/95 

MITTLELSTADT, BRUCE W. 92-7 CFTC 11/26/91 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

MIYAKO TSUSHO COMPANY, LTD. 

90-1 CFTC 04/17/90 4c(a)(A) 

MIZRAHI, SAM 82-39 CFTC 01/20/84 4c(b) 

4c(c) 4k(4) 

1.14(b) 32.9 32.11 

MIZRAHI, SAM 83-7 CFTC 12/06/82 

MOBLEY TRADING & INVESTMENT CORP. 

00-CIV-1317 S.D. N.Y. 2/24/00 PRELIMINARY 

INJUNCTION & SRO 

234
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MOBLEY, DAVID M., SR. 00-CIV-1317 S.D. N.Y. 2/24/00 4b 

4o(1) 

PRELIMINARY 

INJUNCTION & SRO 

MOCATTA METALS CORPORATION 

89-3 CFTC 11/10/88 4c(a) 1.38(a) 

MOCK, DALE LUTHER 00-22 CFTC 6/27/00 4b(a)(i) 

4b(a)(iii) 

166.2 COMPLAINT FILED 

MO-COMM FUTURES INCORPORATED 

80-21 CFTC 02/23/82 4b 

4o 

MO-COMM FUTURES, INC. 78-0122 WD MO 12/20/78 4o PERMANENT INJUNCTIMODIST, MARK L. 97-7422 SD FLA COMPLAINT FILED MOELLER, ORVILLE W. 85-185-JLQ ED WA 08/07/87 4o(1) PERMANENT INJUNCTIMOMENTUM TRADING GROUP, LTD. d/b/a ORCA FUNDS 

CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

MONARCH EQUITY CORPORATION 

87-341R SD CA 09/14/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

MONCUR, ROBERT 2:98CV00216J CD UT 08/25/99 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 

4.20(b) 4.20(c) 4.24(a) 4.21(a) 

PERMANENT INJUNCTI

235
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MONDI, DAVID M. 84-20 CFTC 05/19/87 4c(a)(A) 

4i 6(b) 

18.00 18.01(a) 18.04(e) 1.38(a) 

MONETARY MARKETING, INC. 79-03851 CD CA 05/09/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

MONEX INTERNATIONAL, LTD. 84-50 CFTC 11/08/84 19 31.5(a)(1) MONIESON, BRIAN P. 89-1 CFTC 06/07/93 4b(A) 166.3 

MONTE, FRED 99-8750-CV S.D. FL. 10/29/99 REVISED EX PARTE SRMONTE, JEANNE H. 99-8750-CV S.D. FL. 10/29/99 REVISED EX PARTE SR

MONTFORT, JAMES BROWN III SD-91-4 CFTC 01/22/92 8a(3)(G) 

8a(3)(M) 8a(4) 8a(N) 

MONTGOMERY COMPANY, INC. (THE 

87-15 CFTC 02/11/88 4i 17.00 

17.01 17.02 

MOORE, BRIAN SACV02-173 CD CAL 3/24/03 4b(a)(i) & 

(iii) 4(a) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

236
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MOORE, EARL 79-1436 ND IL 12/08/80 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

MOORE, JAMES DARREN 1:03 CV 149 MD NC 6/20/03 4b(a)(2)(i)­

(iii) 

1.1(b) COMPLAINT FILED 

MOORE, STANLEY EDWARD 00-31 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) COMMISSION ORDER 

MOORE, STEPHEN E. 03 CV 9129 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MOORE, STEVEN 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

MOORGATE LTD. 92-041-LDG D NV 08/03/93 MORAN, JOHN 81-2593 D NJ 09/28/81 4b(A) 

4m 4n(1) 4o(1) 

4.31(a) 1.10(c) 1.14 

PERMANENT INJUNCTI

MORAN, JOHN 82-4 CFTC 11/20/81 4b(A) 

4m 4n(1) 4o(1) 

1.10(c) 1.14 4.31(a) 

237
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MORGAN J. DALEY CORPORATION 

81-770 D MN 04/03/85 4o(1) 

4n(4) 4n(3)(A) 

1.16 4.22(d) 4.22(h) 4.23 1.31(a) 

PERMANENT INJUNCTI

MORGAN J. DALEY CORPORATION 

85-15 CFTC 03/14/85 4n(3) 

4n(4) 4o(1) 

1.16 1.31(a) 4.21 4.22(d) 4.22(b) 4.23 

MORGAN, HARRIS & SCOTT, LTD. 

79-4313 SD NY 09/26/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

MORGAN, OLMSTEAD, KENNEDY & GARDNER 

85-42 CFTC 04/02/86 4f(1) 21.02 

MORIK, YOSSI 89-5 CFTC 10/19/90 

MORMENEO, CARLOS MANUEL 87-14 CFTC 04/26/88 

MORMENEO, CARLOS MANUEL 88-1 CFTC 04/26/88 4c(b) 

4g 

1.35(a-1) 1.35(b)(3) 33.7(d) 33.7(e) 33.10 166.3 

MORRIS, ELLISON KENT 03-80032 SD FL 8/5/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTIO

MORRIS, JOHN 80-01109 CD CA 05/07/80 4 

4h 

PERMANENT INJUNCTI

MORRISH ALLIANCE, LTD. 04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

MORRISON, MARVIN J. 88-K-271 D CO 07/05/89 4b(A) 

4b(B) 4b(C) 9(a) 4d(1) 4d(2) 

1.20(a) PERMANENT INJUNCTI

238
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MORRISON, RONALD 87-0341R SD CA 02/05/90 4(a) 

4b(A) 

PERMANENT INJUNCTI

MORRISSEY, OWEN 85-25 CFTC 11/06/86 4b 

4d(2) 4f(2) 

1.22 166.3 

MORSE, JAMES 78-19 CFTC 08/12/82 4b 

4c(b) 4d 4m 

1.7 32.3 32.5 32.9 

MORSE, JAMES 78-4195EW SD NY 09/20/78 4k(1) 

4b 4d(2) 4f(2) 

1.17 1.20 

PERMANENT INJUNCTI

MORSE, JAMES 79-1201 SD NY 04/05/79 32.9 

32.11 32.5 32.3 

PERMANENT INJUNCTI

MORSE, JAMES 80-0689 SD NY 07/15/81 4 

4b 

PERMANENT INJUNCTI

MORSE, THOMAS D. 82-0312 ED MO 06/11/84 4b PERMANENT INJUNCTI

MORTON, KEITH B. 85-46 CFTC 02/21/86 4c(a)(B) 1.38(a) 

MOSES, DON R. 87-3-498 ED TN 01/17/90 4m(1) 4.21 PERMANENT INJUNCTI

239
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 4n(4) 

4.22 1.31 4.23 

MOSES-SEAY COMPANY 87-3-498 ED TN 01/17/90 4m 

4o(1) 4n(4) 

4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

MOSES-SEAY TRADING COMPANY 

87-3-498 ED TN 01/17/90 4m 

4o(1) 4n(4) 

4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

MOSKOWITZ, RICHARD ALLAN SD-94-7 CFTC 09/20/95 

MOSKOWITZ, RICHARD ALLEN SD-90-3 CFTC 02/05/93 8a(3)(D) 

8a(3)(G) 8a(4) 

3.31 3.60 

MOSKY, ROBERT D. 91-19 CFTC 06/25/97 4b(A) 

4b(D) 

MOSKY, ROBERT D. SD-93-16 CFTC 11/08/93 

MOSS, NEIL KENNETH 80-4801 CD CA 03/19/81 4 

4b 4h 4m 4o 

PERMANENT INJUNCTI

MOSS, PHILIP 80-28 CFTC 03/27/86 4c(a) 1.38 

MOSS, PHILIP 80-31 CFTC 04/18/91 4c(a)(A) 

4c(a)(B) 4b 4b(D) 4g 

1.35 1.38(a) 

MOUNT, STEPHEN E. 80-36 CFTC 09/27/85 4d(2) 

4f(1) 4f(2) 4g(1) 6(b) 

1.10(d) 1.17(a) 1.18(a) 1.20(a) 1.23 1.31 1.32 1.35(a) 1.18(c) 1.10(f) 

240
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.32 

MOUNTAIN ENERGY COMPANY 87-3-498 ED TN 01/17/90 4m 

4o(1) 4n(4) 

4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

MOYER, FRANK 86-6778 SD FL 10/22/86 4c(c) PERMANENT INJUNCTI

MOYLE, ROBERT F. 85-45 CFTC 09/27/85 4k(1) 3.12(a) 

MSP TRADING, INC. 90-14 CFTC 03/12/91 4g 1.31(a)(1) 

1.35(a) 1.35(a-1)(4) 1.35(b) 1.35(c) 

MUDGE, GARY 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

MUELLER, MARK HUGO 00-26 CFTC 8/7/00 4g 1.35(a-1)(1) COMMISSION ORDER 

MULLER, JOHN J. 77-22 CFTC 08/02/82 4b(A) 32.9 

241
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(b) 

MULLER, JOHN J. 77-390JE SD FL 03/25/80 4c(b) 32.9 PERMANENT INJUNCTI

MULLET, MICHAEL D. 90-192 D CO 12/02/91 4m(1) 

4b(A) 4o 4b(B) 4d(1) 

PERMANENT INJUNCTI

MULLIGAN, SUSAN 89-10 CFTC 07/26/89 4b 

MULTI-NATIONAL HOLDING CORPORATION 

82-2173 SD NY 09/13/82 4b(A) 

4d(1) 4d(2) 4m 4n(1) 4n(2) 4n(4) 4o(1) 

1.17 1.10c 1.10d 1.14 1.20 4.20(c) 4.21(a) 4.21(b) 4.21(c) 4.22 4.24 

PERMANENT INJUNCTI

MULTI-NATIONAL HOLDING CORPORATION 

83-5 CFTC 03/30/84 4b(A) 

4d(1) 4d(2) 4m 4n(1) 4n(2) 4n(4) 4o(1) 

1.7 1.10c 1.10d 1.14 1.20 4.20(c) 4.21 4.22 4.24 

MULTI-STATE ADVISORY CORPORATION 

81-2953 D NJ 09/28/81 4b(A) 

4m 4n(1) 4o(1) 

4.31(a) 1.10(c) 1.14 

PERMANENT INJUNCTI

MULTI-STATE ADVISORY CORPORATION 

82-4 CFTC 11/20/81 4b(A) 

4m 4n(1) 4o(1) 

1.10c 1.14 4.31(a) 

MULTIVEST OPTIONS, INC. 90-11 CFTC 05/04/90 4c(b) 33.7(f) 

33.10 

242
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

166.3 

MULTIVEST OPTIONS, INC. 90-6050 SD FL 05/09/90 4c(b) 33.7(f) 

33.10 166.3 

PERMANENT INJUNCTI

MUNN, CAROLYN F. 97 C 7061 N.D. IL. 3/24/00 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 4o(1) 

PERMANENT INJUNCTI

MUNSON, JOHN 77-4 CFTC 07/19/77 4c(b) 32.9 

MURLAS BROTHERS COMMODITIES, INC. 

79-39 CFTC 06/26/79 4f(2) 

4f(1) 

1.179a) 1.10(a) 

MURLAS COMMODITIES, INC. 85-29 CFTC 09/01/95 4b(A) 166.3 

MURPHY, ARTHUR 80-9 CFTC 12/09/81 4b(c) 

4d(2) 4f(2) 4g 

1.17(a) 1.23 1.31 1.32 1.33(a)(1) 1.34 1.35(a) 1.46(a) 

MURPHY, DONALD F. 88-1 CFTC 04/26/88 4c(b) 33.7(d) 

33.10 

MURPHY, DONALD J. 82-37 CFTC 09/25/85 4b 

4c(a) 4g 

1.35 1.38 

MURPHY, JAMES T. 82-22 CFTC 03/21/85 4b(A) 

4o(1) 4m 4n(3)(A) 4n(4) 

4.21 4.22(c) 4.21(g)(1) 4.22(a) 4.22(h) 4.23(a) 

MURPHY, JOSHUA SD-91-3 CFTC 03/31/92 

243
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MURPHY, MICHAEL PATRICK 92-24 CFTC 02/17/93 4b(D) 

4b(A) 4c(a)(A) 4c(a)(B) 4c(b) 4g(1) 4i 6(b) 

1.35(a-1) 166.2 33.10 155.3(b)(2) 1.38(a) 1.31 1.35(a) 18.01(a) 18.04 17.01(b)(8) 18.00 17.00 17.01(d) 18.00 

MURPHY, ROBERT 84-243PHX D AZ 04/22/87 19 31.1 

31.2 

PERMANENT INJUNCTI

MURPHY, TIMOTHY 01-06 CFTC 1/10/01 4c(a)(A) 

4c(a)(B) 4c(b) 4g(a) 

1.35(d) 1.38 33.10 

COMPLAINT FILED 

MURPHY, TIMOTHY J. SD-96-10 CFTC 12/02/96 8a(3)(M) 

MURPHY, TIMOTHY R. 92-24 CFTC 02/17/93 4b(D) 

4b(A) 4c(a)(A) 4c(a)(B) 4c(b) 4g(1) 

1.35(a-1) 166.2 33.10 155.3 1.38(a) 1.31 

244
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4i 6(b) 

1.35(a) 18.01(a) 18.04 17.01(b)(8) 18.00 17.00 17.01(d) 18.00 

MURPHY, WILLIAM JOSEPH III 92-24 CFTC 02/17/93 4b(D) 

4b(A) 4c(a)(A) 4c(a)(B) 4c(b) 4g(1) 4i 6(b) 

1.35(a-1) 166.2 33.10 155.3 1.38(a) 1.31 1.35(a) 18.01(a) 18.04 17.01(b)(8) 18.00 17.00 17.01(d) 18.00 

MURRAY, COYT E. 04CV1512 D NJ 6/24/2004 COMPLAINT FILED 

MYATT, MICHAEL CV-97-838MA D OR 07/22/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

MYSKOWSKI, ANTHONY SD-99-2 CFTC 01/28/99 8a(3)(M) 

245
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MYSKOWSKI, JOHN J. 90-12 CFTC 05/23/90 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

N.S. RAMCHANDRAN d/b/a RAM CHANDRAN 

95-1598 D. NJ 2/29/00 4b(a)(ii) 

4c(b) 4o(1)(A) 4o(1)(B) 4m 4k(2) 

32.9 33.7(f) 33.10 

FINAL JUDGEMENT 

NACHWALTER FINANCIAL DEVELOPMENT CORP. 

93-71445 ED MI 03/25/94 4b(a)(i) 

4d(1) 

PERMANENT INJUNCTI

NACHWALTER, ELLIOTT H. 93-71445 ED MI 03/25/94 4b(a)(I) 

4d(1) 

PERMANENT INJUNCTI

NAFEIY, FARZAD SACV02-173 CD CAL 3/24/03 4b(a)(i) & 

(iii) 4(a) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

246
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NAGY, ROBERT A. 84-28 CFT 02/08/85 4m 

4b 13(a) 4o(1) 

NAHAS, NAJI ROBERT 85-12 CFTC 09/05/86 6(b) 

6(c) 9(b) 13(a) 

NAJIB ASSAF, INC. 85-18 CFTC 08/01/86 4I 15.01(c) 

18.04 

NANASCA, ROLANDO 97-1492 SD FL NANAY, MICHAEL 88-14 CFTC 09/20/88 4b 

NAPOLETANO, VITO 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

NAPOLETANO, VITO 03 CV 9127 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

NAPOLETANO, VITO 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

NATIONAL BULLION & COIN, INC. d/b/a NATIONAL BULLION & COIN SERVICES, INC. 

00-6885 S.D. FL. 3/28/01 FINAL JUDGEMENT 

247
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NATIONAL CENTURY FINANCIAL CORPORATION 

83-48 CFTC 03/14/84 4b 

4n 4o 

4.20 4.21 4.22 4.23 

NATIONAL CENTURY FINANCIAL CORPORATION 

84-4181MRP CD CA 06/06/84 4b 

4n 4o 

4.21 4.22 4.20 4.23 

PERMANENT INJUNCTI

NATIONAL COAL EXCHANGE, INC. 

81-2250-W WD TN 02/13/84 4o(1) 

4 4b(A) 4b(C) 

PERMANENT INJUNCTI

NATIONAL COMMODITIES CORPORATION, INC. 

04-80862 SD FL 9/13/2004 COMPLAINT FILED 

NATIONAL COMMODITY EXCHANGE OF NO. AMERICA 

80-36 CFTC 10/28/81 8b 

4b(A) 4b(C) 4f(1) 4g(1) 

1.18(a) 1..35(a) 

NATIONAL MONETARY CORPORATION 

85-72570 ED MI 09/16/86 4(a) 

4b(A) 

PERMANENT INJUNCTI

NATIONAL MONETARY FUND, INC. 

82-2062 SD FL 04/10/85 4o(1) 4.31(a) 

166.3 4.1(a)(2) 

PERMANENT INJUNCTI

NATIONAL MONETARY FUND, INC. 

85-17 CFTC 03/29/85 4o(1) 4.1(a) 

4.31(a) 166.3 

NATIONAL TRADING GROUP, INC. 

88-05840HLH CD CA 09/30/88 4(a) 

4b(A) 

 PERMANENT INJUNCTI

NAUD, ODILE 80-27 CFTC 03/18/83 4b 

4h 4k 

NAULIN, DAVID O. 91-4586 CD CA 12/17/92 4d 

4b(2)(A) 4b(2)(B) 4o(1) 

PERMANENT INJUNCTI

248
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NAULIN, DAVID O. 92-6 CFTC 11/22/91 4o(1) 

4d 4b(2)(A) 4b(2)(B) 

NAUMAN, LEONARD G. d/b/a NAUMAN ADVISORY SERVICES 

00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4n(4) 

4.20(c) 4.22 4.21 

PRELIMINARY INJUNCTION 

NAWAB ALI KHAN ALI a/k/a NAWAB KHAN AND ERIC ALI 

02-6619 CD CA 8/23/02 STATUTORY 

RESTRAINING ORDER 

NAYLOR, JOHN C. 80-27 CFTC 01/09/84 4b 

4d 4h 4k 

NDT FUND, LLC CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

NELSON GHUN AND ASSOCIATES, INCORPORATED 

81-13 CFTC 02/22/82 4b(A) 

4o(1) 4n(1) 

4.21(a) 4.21(b) 4.31(a) 4.31(b) 1.10(c) 1.10(d) 

NELSON, GEORGE PHILIP 81-13 CFTC 03/02/84 4b(A) 

4n(1) 4o(1) 

1.10c 1.10d 4.21(a) 4.21(b) 4.31(a) 4.31(b) 

NELSON, JOHN JOSEPH 84-44 CFTC 12/17/84 4e NELSON, RANDALL individually CV-04-B-2794-NE ND AL 9/23/2004 COMPLAINT FILED 

249
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

and d/b/a COMMODITY INVESTMENT CLUB OF HUNTSVILLE NESBIT, H. PAUL 81-17 CFTC 11/06/84 NESBIT, H. PAUL 81-21 CFTC 08/05/85 4b 

NESBIT, H. PAUL 81-9 CFTC 11/06/84 

NEUBERGER SECURITIES CORPORATION 

78-0317 SD NY 01/11/78 4c(b) 32.9 PERMANENT INJUNCTI

NEUBERGER, RICHARD 78-0317 SD NY 01/11/78 4c(b) 32.9 PERMANENT INJUNCTI

NEW FOREST CAPITAL MANAGEMENT INC. 

96-C-0076 L 10/03/96 4b(a)(I) 

4b(a)(ii) 9(a)(1) 4o(1) 

4.30 PERMANENT INJUNCTI

NEW JERSEY PRECIOUS METALS TRADING CORP. 

79-3371 SD NY 10/22/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

NEW MILLENIUM PROMOTIONS 99-7 CFTC 07/29/99 4d(1) 166.3 NEW WORLD TRADING, LLC 04-80562 SD FL 6/21/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

NEW YORK & FOREIGN SECURITIES, CORPORATION 

85-43 CFTC 05/06/86 4f(1) 21.02 

NEW YORK CAPITAL ASSETS, INC. 

03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

NEW YORK CURRENCY EXCHANG E CORPORATION 

98CIV5588 SD NY 09/04/98 

05/11/99 

4(a) 4b(a)(I) 4d(1) 4d(2) 9(a)(1) 4k(1) 

PRELIMINARY 

INJUNCTION 

250
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NEW YORK CURRENCY RESEARCH CORPORATION 

98-3 CFTC 09/22/99 

NEW YORK CURRENCY RESEARCH CORPORATION 

98CIV5588 SD NY 08/07/98 

05/11/99 

EX-PARTE ORDER 

NEW YORK FUTURES TRADERS INC. 

86-0770 ED NY 04/01/87 4b(A) 

4d(1) 4d(2) 4m(1) 4o(1) 

1.20 3.4 4.20(c) 4.21(a) 

PERMANENT INJUNCTI

NEW YORK MERCANTILE EXCHANGE 

77-14 CFTC 10/19/78 5(f) 

5a(8) 

1.51 1.53 

NEW YORK MERCANTILE EXCHANGE 

81-23 CFTC 07/20/81 5a(8) 

5(f) 

1.51 1.53 8.05 8.06 8.07 

NEWMAN, C. DAVID 85-1052F ND TX 11/03/86 4(a) 

4b(A) 

PERMANENT INJUNCTI

NEWMAN, MITCHELL R. 88-19 CFTC 05/20/93 4c(b) 33.10 NEWMAN, SAMUEL 04-24 CFTC 9/9/2004 4m(1) COMMISSION ORDER 

251
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NEWPORT INVESTMENT MANAGEMENT CORPORATION 

81-4409 CD CA 12/23/81 

03/03/82 

4b 4 4h 4o(1) 

PERMANENT INJUNCTI

NEWTON, RUTH 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

NEWTON, WILLIAM R. 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

NEXGEN SOFTWARE SYSTEMS, INC. 

H-04 2947 SD TX 7/20/2004 COMPLAINT FILED 

NEXT FINANCIAL SERVICES UNLIMITED, INC. 

04-80562 SD FL 6/21/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

NG, JIMSON B.T. 93-0067 CD CA 01/07/93 4(a) RESTRAINING ORDER 

NICE, NICK VAN 00-34 CFTC 9/28/00 4b(a)(i) 

4b(a)(iii) 4c(b) 4o(1) 

4.41(a) 4.41(b) 33.10 

COMPLAINT FILED 

NICHOLSON, F. WILLIAM 94-4 CFTC 11/02/93 4a(e) 

4g(a) 6(c) 

18.04(a) 166.2 

NICKOLAOU, NICHOLAS J. 99-C-6425 N.D. IL 12/27/99 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

PRELIMINARY INJUNCTION 

NICOLETTI, DAVID SD-95-1 CFTC 12/26/95 

NIKKHAH, SHAHROKH 95-13 CFTC 11/20/03 ALJ INITIAL DECISION NIMC INCORPORATED 81-4409 CD CA 12/23/81 

03/03/82 

4b 4 4h 4o(1) 

PERMANENT INJUNCTI

NIMC PRECIOUS METALS, INC. 81-4409 CD CA 12/23/81 

03/03/82 

4b 4 4h 4o(1) 

PERMANENT INJUNCTI

NIMC STRATEGIC METALS INTERNATIONAL, INC. 

81-4409 CD CA 12/23/81 

03/03/82 

4b 4 4h 4o(1) 

PERMANENT INJUNCTI

NIX, JAMES T. 88-H-3543 SD TX 05/14/90 4b(A) PERMANENT INJUNCTI

252
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(1) 4d(2) 9(a) 

NIXON, BRUCE A. 89-5 CFTC 10/19/90 

NOBLE METALS INTERNATIONAL 

92-041-LDG D NV 08/03/93 4(a) 

4b(A) 

PERMANENT INJUNCTI

NOBLE WEALTH DATA INFORMATION SERVICE, INC., a/k/a NOBLE WEALTH, INC., a/k/a NOBEL WEALTH, INC. 

CIV-PJM-98-3316 D MD 5/14/2004 PERMANENT INJUNCTI

NOK, SIU-WAH 90-3034 ND CA 09/10/91 4(a) 

13(a) 4b(A) 4b(B) 

PERMANENT INJUNCTI

NOPKINE CO., INC. 94-2403 SD NY 04/05/94 4c(b) 32.9 RESTRAINING ORDER NORCROSS MARKETING, INC. 81-2250-W WD TN 02/13/84 4o(1) 

4 4b(A) 4b(C) 

 PERMANENT INJUNCTI

NORDLICHT, JULES 79-31 CFTC 01/07/81 4c(a) 

9(b) 

NORTH AMERICAN ASSET MANAGEMENT, INC. 

97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

253
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NORTH AMERICN PETROLEUM CORP. 

80-0689 SD NY 03/02/81 4 

4h 4b 

PERMANENT INJUNCTI

NORTHEAST INVESTMENT SERVICES, INC. 

82-0305 D MA 05/21/85 4o(1) 

4b(A) 

4.21(a) 4.21(b) 4.21(g) 4.20(b) 4.20(c) 4.22(a)(3) 

PERMANENT INJUNCTI

NORTHERN FINANCIAL CORPORATION 

77-2 CFTC 02/29/80 4f(2) 

4g 

1.17 1.35 

NORTHERN, LOVELL BRAXTON III 

93-3 CFTC 07/19/94 4b 

NORTHWEST GOLD COINS, INC. 

85-6066 SD FL 01/30/85 4(a) PERMANENT INJUNCTI

NORTHWEST TRADING GROUP 87-934-RE D OR 09/01/87 4(a) PERMANENT INJUNCTI

NORTON, EDWARD K. JR. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

NORWELL TRADE WINDS, LTD. 82-1 CFTC 11/04/81 4b(A) 

4d(1) 4n(3)(A) 4n(4) 4o(1) 

1.7 4.21(a) 4.21(b) 4.22(a) 4.23(a) 

NORWELL TRADE WINS, LTD. 81-1749MA D MA 07/10/81 4b(A) 

4d(1) 4n(3)(A) 4n(4) 4o(1) 

4.22(a) 4.23(a) 1.7 4.21(a) 4.21(b) 

PERMANENT INJUNCTI

NOTCH S.A. PANAMA 86-29 CFTC 05/19/87 4i 15.01(c) 

18.04 

254
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

NOVAK AND NOVAK TRADING COMPANY, INC. 

80-32 CFTC 06/29/83 4c(a) 

NOVAK, JAY 80-32 CFTC 06/29/83 4c(a) 

NOVAK, JOHN P. H-04 2947 SD TX 7/20/2004 COMPLAINT FILED 

NOWAK, JAMES D. 91-1 CFTC 12/17/90 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

NRG ENERGY, INC. 04-cv-3090 D MN 7/1/2004 COMPLAINT FILED 

NUGENT, BARTHOLOMEW J. 90-23 CFTC 02/28/94 4f 3.31 

O’’CONNOR FUTURES INC. 88-6 CFTC 02/13/90 4c(a)(B) 1.38(a) 

O’BRIEN, FRANCIS J. 84-8 CFTC 02/05/87 4c(a)(A) 1.38(a) 

O’BRIEN, ROBERT J. JR. 82-44 CFTC 01/23/86 166.3 O’BRIEN, THOM AS F. 84-29 CFTC 10/05/84 4b(A) 

4o(1) 4o((2) 

O’CONE, PHILIP M. 83-59 CFTC 01/17/84 O’CONE, PHILIP M. 84-7 CFTC 06/20/84 4c(a)(A) 1.38(a) O’CONNELL, JAMES L. 87-4 CFTC 12/09/88 4b 

4e 

O’CONNELL, THOMAS B. 2:98CV104 D VT 04/17/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 9(A)(1) 

4.20 4.21 4.22 4.24 4.25 

PERMANENT INJUNCTI

255
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

O’CONNOR, BRIAN T. 85-72570 ED MI 09/16/86 4(a) 

4b(A) 

 PERMANENT INJUNCTI

O’CONNOR, EDMUND J. 76-8 CFTC 09/26/75 4a 150.1 

O’GRADY, STEPHEN G. 88-26 CFTC 09/20/88 4b(A) 

4k(2) 4n(3) 4n(4) 4o(1) 

4.22 4.23 

O’HERRON ASSET MANAGEMENT 

1:00 CV 913 WD MI 10/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 

4.20(c) 4.21 

PERMANENT INJUNCTI

O’HERRON, JOHN 1:00 CV 913 WD MI 10/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 

4.20(c) 4.21 

PERMANENT INJUNCTI

O’MALLEY, JOSEPH P. 93-11 CFTC 12/14/93 4c(a)(A) 1.38(a) 

O’MALLEY, STAR LYNN 84-41 CFTC 05/22/85 4b(A) 

4b(B) 4b(C) 

O’NEILL, ROBERT CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

O’NEILL, TIMOTHY J. SD-93-3 CFTC 02/09/93 8a(3)(D) 

256
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

O’SHAUGHNESSEY, DANIEL M. 96-10421 I 11/05/97 

12/18/97 

4b(a)(i) 4b(a)(ii) 4o(1) 

4.20(C) 4.41(a) 

PERMANENT INJUNCTI

OAKWOOD ASSET M ANAGMENT, INC. 

95-16-SD CFTC 06/06/95 8a(2)(H) 

8a(2)(A) 8a(2)(E) 

OASIS PUBLISHING CORP. 00-09 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

OBANDO, EXCEL CV04-6463 CD CAL 8/25/2004 PRELIMINARY 

INJUNCTION 

OCALINE INTERNATIONAL CORPORATION 

03 CV 7112 SD NY 8/24/2004 PERMANENT INJUNCTI

OCONE, PHILIP SD-94-14 CFTC 09/02/94 OFFSHORE FINANCIAL CONSULTANTS OF FLORIDA INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

OFFSHORE FINANCIAL CONSULTANTS OF GEORGIA INC. 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

OGOREK, PEGGY ANN 89-5 CFTC 10/19/90 

O'HERRON, JOHN F. SD 03-02 CFTC 1/7/03 COMMISSION ORDER 

O'KEEFE, MICHAEL 03-80526 SD FL 6/11/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

OLAM INTERNATIONAL LIMITED 04-13 CFTC 4/6/2004 4c(a) 1.38(a) COMMISSION ORDER 

OLEXSAK, STEPHEN J. SD-88-5 CFTC 02/21/89 OLEXSAK, STEPHEN J. SD-95-21 CFTC 07/25/95 

257
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

OLIFFE, JAMES 78-1069 SD FL 04/27/78 4c(b) 

4o(1) 

32.9 32.5(a) 32.5(c) 32.8(a) 

PERMANENT INJUNCTI

OLIVERIO, CARMINE 90-1 CFTC 03/11/94 4g 1.31(a)(1) 

1.35(a) 1.35(a-1)(2) 1.35(a-1)(4) 

OMESTE, GEORGE 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

O'NEILL, DANIELLE CIV 2-61307 SD FL 6/15/2004 SUPPLEMENTAL ORDE

O'NEILL, DONALD C. CIV 2-61307 SD FL 6/15/2004 SUPPLEMENTAL ORDE

ONEOK ENERGY MARKETING AND TRADING COMPANY, L.P. 

04-09 CFTC 1/28/2004 9(a)(2) COMMISSION ORDER 

ONEOK, INC. 04-09 CFTC 1/28/2004 9(a)(2) COMMISSION ORDER 

OPEC AMERICAN PETROLEUM 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

OPTIONS ADVISORS, LLC (THE) 04-28 CFTC 9/30/2004 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) COMMISSION ORDER 

ORCA CAPITAL FUND A, LLC CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

258
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ORCA FUNDS, INC. CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTIORCA HOPI, LLC CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

ORCA MOHAVE A, LLC CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

ORION INTERNATIONAL, INC. CV 03 603 D OR 5/8/03 STATUTORY 

RESTRAINING ORDER 

ORLANDO, JOHN J. 93-2 CFTC 3/24/04 COMMISSION ORDER 

259
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

OSADCHY, ANATOLY 99-2 CFTC 10/29/98 14.8(C) OSLER, DARRYL M. 00-05 CFTC 2/15/01 4c(b) COMMISSION ORDER 

OSTER COMMUNICATIONS INC. 96-6 CFTC 06/20/96 4b(a)(i) 

4m(1) 4o(1)(A) 4o(1)(B) 

4.41(a)(1) 4.41(a)(2) 

OSTER COMUNICATIONS INC. 95-6221 SD FL 06/19/96 4m(1) 

4b(a)(i) 4o(1)(A) 4o(1)(B) 

4.41(a)(1) 4.41(a)(2) 

PERMANENT INJUNCTI

OSTROV, MARK 78-0317 SD NY 01/11/78 4c(b) 32.9 PERMANENT INJUNCTIOTTO, RICHARD D. 97-4443 CAL 02/10/98 4b(a)(2) PERMANENT INJUNCTIOUELLET, JOEL JEFFREY 79-1436 ND IL 12/07/81 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

OUYANG, BEN CV 03-0833 CD CAL 2/5/03 STATUTORY 

RESTRAINING ORDER 

OVERLAND, WILLIAM 02-13 CFTC 7/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 

1.38 1.35(d) 

COMPLAINT FILED 

260
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(1) 4g 

OVSEPYAN, ARMAN CV-01-06907 CD CAL 1/27/2004 4(a); 

4b(a)(i)-(iii) 

OWNBEY, CAMERON individually and d/b/a ULTIMUS AND FIRST NATIONAL INVESTMENTS 

03 C 6592 ND IL 9/18/03 PRELIMINARY 

INJUNCTION 

OWNBEY, CAMERON S. 01-18 CFTC 1/17/03 4b(a)(i) & 

(iii) 4b 4o(1) 6(c) 

4.41(a) ALJ ORDER 

OXBORROW, KENNETH D. 84-811 ED WA 12/04/84 4m 

4o(1) 

 PERMANENT INJUNCTI

OXFORD CAPITAL GROUP, LLC 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

P&M PRICE DATA, INC. 90-00038 ND IN 08/17/90 4b(A) 

4b(B) 4k(3) 4d(1) 4d(2) 

PERMANENT INJUNCTI

P.I.E., INC. 86-4792WDK CD CA 01/08/87 4b(A) 

4b(C) 

PERMANENT INJUNCTI

PACE, RAY 92-3 CFTC 08/13/93 4b(A) 

4b(B) 

1.38(a) 

PACE, THOMAS F. 89-27 CFTC 01/16/92 4a(5) 

4i 6(b) 

18.04 

PACIFIC BULLION, INC. 92-259 ED NY 03/10/93 4(a) PERMANENT INJUNCTI

261
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(A) 4d(1) 

PACIFIC COMMODITIES EXCHANGE, INC. 

76-17 CFTC 05/04/77 

PACIFIC GOLD COINS, INC. 84-6717 SD FL 09/12/84 RESTRAINING ORDER PACIFIC TRADING COMPANY 75-1 CFTC 02/09/76 4g(1) 

4i 

17.00 

PAINE WEBBER INCORPORATED 

88-32 CFTC 09/30/88 4b(A) 

4b(B) 4c(b) 4g(1) 

1.33(a)(2)(i) 1.33(b)(3) 1.35(a-1)(1) 33.10(a) 33.10(b) 166.2 166.3 

PAINE WEBBER, INC. 93-3 CFTC 11/24/92 4g 1.35(a-1)(1) 

1.35(a-1)(2) 1.31(a) 1.35(a) 166.3 

COMPLAINT FILED 

PAINE WEBBER, JACKSON & CURTIS 

86-10 CFTC 02/24/86 4g 1.31 

1.35(a) 

PAINE, BRUCE MICHAEL 97-4443 CAL 02/10/98 4b(a)(2) PERMANENT INJUNCTI

PAKCO HOLDINGS LIMITED 01-06926 CD CAL 7/1/03 4b(a)(i)-(iii) 

4(a) 

PERMANENT INJUNCTI

PALERMO FINANCIAL SYNDICATE 

85-9 CFTC 04/24/85 4i 15.01(c) 

18.04 

PALEY, THOMAS 96-CV-2640 E.D. PA. 10/20/99 FINAL ORDER OF 

DISTRIBUTION, SUPPLEMENTING PERMANENT INJUNCTI

262
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PALIN, KENNETH A. 84-0621-R ND TX 11/12/85 4d(1) 

4d(2) 4k 4(a) 4b(A) 4b(D) 4o(1) 4n(3) 

1.20 1.31 4.32 4.31 

PERMANENT INJUNCTI

PALMER, STEPHEN D. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.6 32.7 32.1 32.3(b) 

PERMANENT INJUNCTI

PAN EASTERN PETROLEUM EXCHANGE 

80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

PANAMCO PETROLEUM ENTERPRISES 

80-0689 SD NY 12/10/80 4 

4h 4b 

PERMANENT INJUNCTI

PAPPAS, ROBERT G. 91-7 CFTC 05/09/95 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

PARAGON FUTURES ASSOCIATION 

88-18 CFTC 06/07/88 4b(A) 

4k(1) 

1.31(a) 166.2 166.3 

PARDES, ABRAHAM D. 79-2 CFTC 12/27/78 

PARDES, RONNIE 78-1335 SD FL 04/20/79 4c(b) 1.31 PERMANENT INJUNCTI

263
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.6 32.7 

PARDES, RONNIE 79-37 CFTC 02/10/84 4c(b) 1.31 

32.6 32.7 

PARIS SECURITIES CORPORATION 

87-11 CFTC 07/28/87 4b(A) 

4d(2) 4f(2) 4g(1) 4k(1) 

1.17(a) 1.20(a) 1.20(c) 1.32 1.35(a-1) 17.00(a)(1) 17.01(b) 17.01(c) 166.3 

PARISI, CAESAR 81-1189 D NJ 02/18/82 4n(1) 

4o(1) 4b(A) 4b(C) 

1.14 4.31(a) 1.10(c) 

PERMANENT INJUNCTI

PARITY, INC. 84-2055-ER CD CA 08/28/86 19(b) 

19(c) 4(a) 4b(a) 4b(c) 4o(1) 4o(2) 

31.1 31.2 31.03 

PERMANENT INJUNCTI

PARK, JOHN KI 00-24 CFTC 6/29/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

PARK, JONG KYU 92-259 ED NY 12/09/92 4a 

4b(A) 4d(1) 

3.10 RESTRAINING ORDER 

PARKER, DAVID SACV 04-575 CD CAL 5/19/2004 COMPLAINT FILED 

PARUCH, JAMES 85-25 CFTC 02/10/92 4a(5) 

4g 

1.35 

264
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PARZ, DANIEL M. 90-13 CFTC 05/23/90 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

PASHBY, TERRY 76-20 CFTC 11/17/76 4b 

PASHBY, TERRY 76-2095R CD CA 07/30/76 4b 

4k 

 PERMANENT INJUNCTI

PATE, MICHAEL GENE 03-13 CFTC 6/6/03 4(a) 

4b(a) 

1.1 COMMISSION ORDER 

PATEL, PRITESH 6:03-cv-119 MD FL 12/15/2004 4(a) 

4b(a)(2)(i) 

1.1(b)(1) & (3) DEFAULT ORDER 

PATTEN, HARRY O. 89-16 CFTC 08/02/89 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

PATTERA, SAMUEL 77-278EW SD NY 05/19/78 4c(b) 

4k 4o(1) 

30.01 32.3 32.8 

PERMANENT INJUNCTI

PATTERA, SAMUEL 79-1 CFTC 09/27/79 

265
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PAUL JUDD INTERNATIONAL CORP. 

00-13 CFTC 5/1/00 4c(b) 

4o(1) 

4.41(a) 33.10(a) 33.10(c) 

COMMISSION ORDER 

PAUL, HOWARD 79-27 CFTC 03/10/81 4b(D) 

4g 

1.35 1.38 1.39 

PAUL, HOWARD D. 82-7 CFTC 09/29/82 6(b) PAULINO, PERSIO 02-13 CFTC 7/9/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 1.35(d) 

COMPLAINT FILED 

PAXIA, KAREN 80-4801 CD CA 04/28/81 4b 

4 4h 4m 4o 

PERMANENT INJUNCTI

PDT INTERNATIONAL INC. 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

PEABODY TRADING COMPANY OF BOSTON 

81-15 CFTC 04/22/83 4n(1) 

4o(1) 4b(A) 4n(3) 

1.10(c) 1.14(a) 4.21(a) 4.24 1.31 4.23(a) 1.10(d) 4.21(b) 

PEARL, MARTIN L. 78-2 CFTC 03/17/80 4c(b) 32.3 PEARSON, LAWRENCE F. 83-63 CFTC 12/30/83 

PEARSON, LAWRENCE F. 84-6 CFTC 04/27/84 4c(a)(A) 1.38(a) PEARSON, LAWRENCE F. SD-95-11 CFTC 03/08/95 8a(3)(D) 

8a(2)(A) 8a(3)(A) 8a(3)(M) 

PEDERSEN, EARL A. SD-99-5 CFTC 04/16/99 

266
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PEEBLES, CHARLES CARROLL 85-1229 SD OH 08/02/85 4(a) PERMANENT INJUNCTIPEIKES, MEYER J. 85-6451 SD FL 09/20/85 4m 

4o(1) 

PRELIMINARY 

INJUNCTION 

PELOSO, PATRICK J. 77-1 CFTC 05/26/78 4c(a) 

PELTON STREET PUBLISHING, INC. 

99-CV-1184 D. MINN. 2/8/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4o 

33.10 4.33(a)(7) 4.41(a) 

PERMANENT INJUNCTI

PELTON STREET PUBLISHING, INC. 

SD-00-06 CFTC 7/24/00 COMMISSION ORDER 

PENCO PETROLEUM INC. 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

PENDERGRAFT, MARVIN C. 96-2185 D AZ 01/22/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 4d(1) 4d(2) 

4.20(a) 4.20(b) 4.20(c) 4.21 

PERMANENT INJUNCTI

PENNY, ERNEST 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 4c(b) 

1.38 33.10(a) 33.10(b) 33.10(c) 

COMMISSION ORDER 

PENSION AMERICA, INC. 00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 

4.20(c) 4.22 

PRELIMINARY INJUNCTION 

267
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(a)(iii) 4m(1) 4o(1) 4n(4) 

4.21 

PENTECOSTE, JOHN C. 87-4 CFTC 12/09/88 4b PEPE, MARIA 81-1189 D NJ 07/20/81 4n(1) 4.31(a) 

1.10(c) 1.14 

PERMANENT INJUNCTI

PEPE, THOMAS 81-1189 D NJ 07/20/81 4n(1) 4.31(a) 

1.10(c) 1.14 

PERMANENT INJUNCTI

PEPE, THOMAS SR. 80-0689 SD NY 12/09/80 4 

4b 

PERMANENT INJUNCTI

PEREGRINE FINANCIAL GROUP, INC. 

00-32 CFTC 9/7/00 4f(b) 1.10(b)(1) 

1.12(a) 1.12(b) 1.17(a) 1.18(a) 1.18(b) 

COMMISSION ORDER 

PERK, GEORGE J. 95-15 CFTC 08/20/97 

PERLMUTTER, ALFRED 79-33 CFTC 12/03/79 4c(a) 

9(b) 

2 

PERMANN, CHRISTOPHER L. 85-1052F ND TX 11/03/86 4(a) PERMANENT INJUNCTI

268
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(A) 

PEROTTI, DAVID BRIAN 89-839 SD FL 04/26/90 4b 

4c(b) 9(a) 4d(1) 

33.10 PERMANENT INJUNCTI

PERSTEN, GEOFFREY 80-0421 SD NY 06/21/83 4b(A) 

4n(3)(A) 4n(4) 4o(1) 

4.20(c) 4.21(a) 4.22(a) 4.23 

PERMANENT INJUNCTI

PESEK, MICHAEL J. 87-13 CFTC 01/26/99 4c(a)(B) 1.38(a) 

PESKIN, MICHAEL R. 89-1 CFTC 02/09/93 4b(A) 

4g(1) 

1.35(a-1)(2) 

PESOLI, MICHAEL ANTHONY SD-94-4 CFTC 09/27/95 

PETER J. TAGGARES COMPANY, INC. 

77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

PETERS, HARLEY 79-0752 CD CA 07/29/80 4d 

4b 

1.7 PERMANENT INJUNCTI

PETERS, HARLEY 80-27 CFTC 01/18/83 4b 

4d 4h 4k 

PETERSON, LARRY D. 99-6 CFTC 3/9/00 4(a) 

4c(b) 4d(1) 

1.33(a) 1.55 32.2 32.3 33.3(b) 

COMMISSION ORDER 

PETKOFF, STEPHEN 84-10 CFTC 07/02/84 4c(a)(A) 1.38(a) 

269
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PETOK, STACI LEE 02-61160 SD FL 7/2/03 4b(a) 

4(a) 

1.1(b) PERMANENT INJUNCTI

PETRON COMPANY 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

PETROPLEX COMMODITIES CORP 

87-7 CFTC 05/07/87 4b(A) 

4b(B) 4b(C) 4k(1) 

166.2 

PETROW, GERALD STEVEN SD-94-10 CFTC 04/18/94 

PHIBRO CORPORATION 89-11 CFTC 07/31/89 4 

4(a) 4b(A) 4b(B) 4b(C) 4b(D) 4d(1) 4h 4h(2) 4k(1) 

PHILIPP BROTHERS COMMODITIES CORPORATION 

89-11 CFTC 07/31/89 4a 

4b(A) 4b(B) 4b(C) 4b(D) 

1.20 1.35(a-1) 1.38 3.10(a) 17.00 

270
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(A) 4d(2) 4f(1) 4g(1) 4h 4i 

166.3 

PHILIPP BROTHERS TRADING CORPORATION 

89-22 CFTC 09/21/89 4i 17.00(a) 

PHILIPP BROTHERS, INC. 89-11 CFTC 07/31/89 4(a) 

4b(A) 4b(B) 4b(C) 4b(D) 4c(a)(A) 4d(1) 4d(2) 4g(1) 4h(2) 4h 4k(1) 

1.20 1.35(a-1) 1.38 

PHILLIPS, ADAM CRAIG 79-3558 SD FL 02/12/85 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

PHILLIPS, DANIEL J. 01-8350 SD FL 7/15/02 4c(b) 32.9 

32.11 33.3 32.5 4.14(a)(9) 

PERMANENT INJUNCTI

PHILLIPS, JAMES H. 83-61 CFTC 02/23/84 PHILLIPS, JAMES H. 84-13 CFTC 05/14/84 4c(a)(A) 1.38(a) 

PHILLIPS, JAMES H. SD-94-13 CFTC 09/02/94 8a(2)(A) 

8a(3)(A) 8a(3)(D) 8a(3)(M) 

PHILLIPS, WILLIAM F. 87-7 CFTC 05/07/87 4(b)A 

4b(B) 4b(C) 4k(1) 

166.2 

PHOENIX GLOBAL TRADING, INC. 

8:03-CV-681-T MD FL 9/4/03 4c(b) 32.9(a) & (c) 

1.1(b)(1) & (3) 32.11 33.3(a) 

DEFAULT ORDER 

PHOENIX TRADING INC. 95-6221 SD FL 11/27/96 4m(1) 

4o(1)(A) 

4.41(a)(1) 4.41(a)(2) 

PERMANENT INJUNCTI

271
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1)(B) 4b(a)(I0 

PIASIO, ALFRED R. 97-9 CFTC 9/29/00 4c(a)(A) COMMISSION ORDER 

PIAZZA, BRUCE A. 86-6 CFTC 03/02/93 4b(A) 166.3 PICCOLO, JOHN VINCENT SD-89-6 CFTC 10/06/89 PICCOLO, JOHN VINCENT SD-93-8 CFTC 07/20/93 

PICK, JOSEPH A. 90-28 CFTC COMPLAINT FILED PICK, JOSEPH A. 92-17 CFTC 05/31/95 4f(2) 

4c(b) 6(b) 

1.17(a)(1) 1.17(a)(4) 1.12(a) 33.10 166.3 1.18(a) 

PICKRON, THOMAS A. 78-120A ND GA 01/26/78 4f 

4g 

1.17 1.18 1.32 

PERMANENT INJUNCTI

PICKRON, THOMAS A. 78-45 CFTC 08/02/79 4f(1) 

4f(2) 4g 

1.17 1.18 1.32 

PIERCE, STEPHEN ALAN 02-15 CFTC 7/30/02 4o(1)(A) 

4o(1)(B) 4n 

4.41(a) 4.41(b) 4.33 

COMPLAINT FILED 

PIETSCH, EUGENE HAROLD JR. 82-40 CFTC 09/16/83 4k(4) 

6(b) 

3.31(b) 

272
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PINCKNEY, LARRY D. 78-0122 WD MO 12/11/78 4o PERMANENT INJUNCTI

PINCKNEY, LARRY D. 80-21 CFTC 02/23/82 4b 

4o 

PINTACUDA, FRANK 80-0689 SD NY 03/31/81 4 

4h 4b 

PERMANENT INJUNCTI

PITT, PETER SD-82-4 CFTC 05/20/82 

PLAINS COTTON COOPERATIVE ASSOCIATION 

75-11 CFTC 07/15/77 6(b) 

6(c) 9(b) 

PLATONOFF, VICTOR V. 78-48 CFTC 01/31/84 4g(1) 

4d(2) 

1.37 1.20(a) 1.21 

PLESCHER, PAUL FRANK 94-4 CFTC 11/02/93 4a(e) 

PLOSHNICK, GARY 82-2062 SD FL 01/25/84 4o(1) PERMANENT INJUNCTI

PLOSHNICK, GARY 84-23 CFTC 02/24/84 4b 

4o(1) 

POLIVNICK, MARVIN JULIUS 81-25 CFTC 03/30/82 

POLLACK, HENRY 80-32 CFTC 03/04/86 4c(a) 1.38 

POLLAK, HARVEY B. 80-32 CFTC 03/04/86 4c(a) 1.38 POLONYI, AL S. 82-38 CFTC 04/26/83 4c(a)(A) 

4f 4c(a)(C) 9(b) 6(b) 6(c) 

1.14(b) 3.31(b) 

POLYAXON CAPITAL, INC. 85-31 CFTC 01/22/88 4m 

4o(1) 4n(3)(A) 

4.41(a) 1.31 4.32 4.41(b) 

POMERANTZ, MICHAEL S. 90-14 CFTC 03/12/91 4b(A) 

4b(C) 4b(D) 

1.31(a)(1) 1.35(a) 1.35(a-1)(4) 

273
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(A) 4c(a)(B) 4g 

1.38(a) 

POMEROY, JACK MARTIN 02-61160 SD FL 7/2/03 4c(b) 32.9 

32.11 33.3 

PERMANENT INJUNCTI

POOLER, JAMES A. 84-35 CFTC 10/16/84 4e 

PORTARO, JR. RICHARD D. 92-041-LDG D NV 08/03/93 PRELIMINARY 

INJUNCTION 

PORTUESE, PETER A. 78-19 CFTC 08/12/82 4b 

4c(b) 4d 4m 

1.7 32.3 32.5 32.9 

PORTUESE, PETER A. 78-4195EW SD NY 09/26/78 4d(2) 

4b 4f(2) 4k(1) 

1.17 1.20 

PERMANENT INJUNCTI

POTOCHNIK, ROY 75-1970A ND GA 10/15/76 4c(b) 

4m 

30.01 30.02 

PERMANENT INJUNCTI

POWELL, CHARLES EDWARD 1:99-CV-138 E.D. TN. 2/3/00 4b(a)(i) 

4k(2) 4o(1) 

PERMANENT INJUNCTI

274
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

POWERS, JIM 98-CIV-1365 SD NY 03/03/98 PRELIMINARY 

INJUNCTION 

PRAGMACAPITAL CORP. CV-97-838MA D OR 07/22/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

PERMANENT INJUNCTI

PRAIRIE GARDEN CONDOS, INC. 

00 C 7344 ND IL 3/27/02 ORDER 

PRANOLO, ESTHER CV03-8339 CD CAL 5/10/2004 COMPLAINT FILED 

PRATT, RICHARD J. 78-42 CFTC 07/24/79 6(b) PRATT, RICHARD J. 80-15 CFTC 08/07/81 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

PRECIOUS MEALS INTERNATIONAL, INC. 

85-6705 SD FL 09/30/85 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

PRECIOUS METALS ASSOCIATES, INC. 

78-1393 CD MA 09/06/78 4d(2) 

4f(2) 4c(b) 4g 

1.31 1.32 1.20 32.6 32.7 

PERMANENT INJUNCTI

PRECIOUS METALS ASSOCIATES, INC. 

79-13 CFTC 06/26/81 4c(b) 32.9 

32.8(a) 32.3(b)(2) 

PRECIOUS METALS RESOURCES, INC. 

86-6778 SD FL 10/22/86 4c(c) PERMANENT INJUNCTI

275
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PREFERRED CAPITAL INVESTMENT COMPANY 

79-1085 ND TX 03/19/84 4c(b) 

4c(c) 

32.9 32.11 32.6(a) 

PERMANENT INJUNCTI

PREMEX INC. 84-0375 SD CA 02/29/84 4f(2) PRELIMINARY 

INJUNCTION 

PREMEX, INC. 78-115 ND IL 01/20/78 4f(2) 1.17 PERMANENT INJUNCTI

PREMEX, INC. 79-44 CFTC 02/01/84 4f(2) 

19 4f(1) 6(b) 

1.17(a) 31.03 1.18(a) 1.10 

PREMEX, INC. 80-35 CFTC 04/15/80 

PREMIER PRECIOUS METALS COMPANY 

82-16 CFTC 03/25/82 4 

4h 4c(b) 4c(c) 4m 

32.11 166.3 

PREMIER TRADING GROUP, INC. 

SD 04-06 CFTC 8/12/2004 COMMISSION ORDER 

PRENDERGAST, BRIAN 96-D-389 D COL 01/24/97 4o(1) 

4m(1) 4b(a)(i) 4k(2) 4b(a)(ii) 4b(a)(iii) 9(a)(1) 4n 9(a)(3) 

4.41 3.31 4.21(a) 4.21(g)(1) 1.31 4.22 4.23 

PERMANENT INJUNCTI

PRESTIGE METALS DEPOSITORY CORPORATION 

79-1406 SD FL 05/20/84 4c(b) 

4c(c) 

32.11 32.9 32.3 

PRELIMINARY INJUNCTION 

PRESTON, ANDREW W. 04-03 CFTC 10/27/03 4k(2) COMMISSION ORDER 

PREWITT, JOSEPH 00-15 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

276
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PRIME FINANCIAL SERVICES, INC. 

81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

PRIME FINANCIAL SERVICES, INC. 

82-3 CFTC 11/20/81 4 

4b 4c(b) 4c(c) 4h 4m 4o(1) 

32.11 32.9 

PRIME PRECIOUS METALS COMPANY 

81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

PRIME PRECIOUS METALS COMPANY 

82-3 CFTC 11/20/81 4 

4b 4c(b) 4c(c) 4h 4m 4o(1) 

32.11 32.9 

PRIME STRATEGIC METALS COMPANY 

81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

PRIME STRATEGIC METALS COMPANY 

82-3 CFTC 11/20/81 4 

4b 4c(b) 4c(c) 4h 4m 4o(1) 

32.11 32.9 

PRIME TRADING COMPANY 4:04CV3184 D NE 5/4/2004 4b(a)(2)(i) & 

(iii) 4o 4c(b) 

33.10 166.2 

PRELIMINARY INJUNCTION 

PRINCETON COMMODITY CORPORATION 

82-3 CFTC 11/20/81 

PRINCETON ECONOMIC CONSULTANTS, INC. 

85-47 CFTC 02/08/93 4m 

4b(A) 4o(1) 

4.31 4.32 4.41(a) 4.41(b) 4.31(a) 4.31(b) 

277
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PRINCETON ECONOMIC CONSULTANTS, INC. 

87-10 CFTC 07/16/87 

PRINCETON ECONOMICS INTERNATIONAL, LTD. 

99-CIV-9669 S.D.N.Y. 11/30/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m 4o 

PRELIMINARY 

INJUNCTION 

PRINCETON GLOBAL MANAGEMENT, LTD. 

99-CIV-9669 S.D.N.Y. 11/30/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m 4o 

PRELIMINARY 

INJUNCTION 

PRIOR, KEVIN M. 84-17 CFTC 11/25/83 4e PRISM FINANCIAL CORP. 96-D-389 CFTC 01/24/97 PRIVATE CAPITAL FUTURES MANNAGEMENT 

91-7008 SD FL 05/29/92 4o PERMANENT INJUNCTI

PRIVATE RESEARCH, INC. 95-6970 SD FL `11/05/98 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 4d(1) 9a(1) 

4.21 4.31 

PERMANENT INJUNCTI

PROBBER INTERNATIONAL EQUITIES CORPORATION 

79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

PROBBER, HAYDON, SCAPIER LTD. 

79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

PROBBER, LLOYD 79-0560 SD NY 02/27/79 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.18(a) 1.20(a) 1.32 

PERMANENT INJUNCTI

PRO-BROKER SERVICE, INC. 97-2927 D. NJ 3/1/00 4b(a) 

4c(b) 4d(1) 

1.33 (a)-(b) 33.3(b) 33.9 

DISTRICT COURT OPINION 

278
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(2) 9(a)(1) 

33.10 

PRODUCTIONS TORRE FUERTE INT'L S.A. 

04 CV 02768 SD NY 4/12/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

PROFESSIONAL MARKET BROKERAGE, INC. 

03-14 CFTC 6/23/03 4g 1.31 

1.35 

 COMPLAINT FILED 

PROFIT MARK DATA, INC. 93-0067 CD CA 03/14/94 4(a) PERMANENT INJUNCTI

PROFIT PARTNERS, INC. CV03-9190 CD CAL 2/20/2004 4o(1) 4.16 PRELIMINARY 

INJUNCTION 

PRUDENTIAL ACCUMULATION FUNDING CORP. 

84-6401NCR SD FL 05/17/84 4(a) PERMANENT INJUNCTI

PRUDENTIAL SECURITIES, INC. 92-29 CFTC 09/29/92 4g 

4k(1) 

1.35(a-1) 166.3 

PRUDENTIAL SECURITIES, INC. 95-13 CFTC 06/19/95 4g 1.31(a) 

1.35(a) 1.35(a-1) 1.37 1.38 1.55 33.7 166.3 

PRUDENTIAL SECURITIES, INC. 97-8 CFTC 10/9/02 4g 1.31(a) 

1.35(a) 1.35(a-1)(1) 

COMMISSION ORDER 

PRUDENTIAL-BACHE SECURITIES 

84-40 CFTC 06/06/84 4g 1.31 

1.55 

PUGLIESE, MICHAEL 86-34 CFTC 01/04/91 4b 

PULLEN , LARRY WAYN E 89-20 CFTC 03/20/90 4d(2) 

4f(2) 6(b) 

1.10(d)\ 1.17(a) 1.20(a) 

PULLMAN, JAMES 76-20 CFTC 11/17/76 4b 

PULLMAN, JAMES 76-2095R CD CA 07/30/76 4b PERMANENT INJUNCTI

PUNCERELLI, KENNETH J. 84-27 CFTC 01/08/86 4b(A) 

4k(2) 6(b) 

1.10(b) 

279
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

PUNDI-FORSTEN INTERNATIONAL 

93-0067 CD CA 06/18/93 4(a) PERMANENT INJUNCTI

PUNDI-FORSTEN, INC. 93-0067 CD CA 06/18/93 4(a) PERMANENT INJUNCTIPYNE COMMODITIES CORPORATION 

82-23 CFTC 05/16/83 4b(2) 

4f(1) 4f(2) 4k 4b 

1.10(a) 1.10(b) 1.10(d)(1) 1.17(a)(1) 1.20(a) 1.32 

PERMANENT INJUNCTI

PYRMONT ALLIANCE CORPORATION 

03 CV 7112 SD NY 8/24/2004 PERMANENT INJUNCTIO

Qi2 TECHNOLOGIES, INC. 03-18 CFTC 4/6/2004 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) 4.41(b)(1) & (2) 

COMMISSION ORDER 

QIX, INC. 04-21346 SD FL 6/7/2004 COMPLAINT FILED 

QUALLS, THOMAS CV 03 3577 ED NY 7/23/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

QUANTUM ADVERTISING & MARKETING, INC. 

97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

QUILLIN, RAYMOND THOMAS 80-1723 D MD 12/31/80 4c(b) 

4c(c) 

32.9 PERMANENT INJUNCTI

QUINN AND COMPANY, INC. 83-41 CFTC 12/31/84 4o(1) 4.20(c) 

4.22(a) 4.22(h) 4.21(a) 4.41(a) 

QUINN AND COMPANY, INC. 84-1352 CD MA 10/25/84 4o(1) 

4n(3)(A) 

1.31 4.23 

PERMANENT INJUNCTIO

QUINN, TERENCE 83-41 CFTC 12/31/84 4o(1) 4.20(c) 

4.22(a) 

280
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4.22(b) 4.21(a) 4.41(a) 

QUINN, TERENCE 84-1352 CD MA 10/25/84 4o(1) 

4n(3)(A) 

1.31 4.23 

PERMANENT INJUNCTI

QUITER, RICHARD J. 85-08361 ND IL 08/01/86 4b(A) 

4b(B) 4b(C) 4o(1) 4o(2) 4d(1) 4m(1) 

4.21 4.22 

PERMANENT INJUNCTI

QUITER, RICHARD J. II 92-26 CFTC 01/06/93 4k(1) 166.2 

R & M PREIOUS METALS, INC. 80-2082 WD TN 04/23/82 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

R&W TECHNICAL SERVICES, LTD. 

96-3 CFTC 8/6/03 COMMISSION ORDER 

R. B. THOMPSON ASSOCIATES, INC. 

82-25 CFTC 04/20/83 4b(A) 

4d(1) 4g(1) 4o(1) 

1.33(a) 1.46(a) 3.10 4.21 4.22 

R. B. THOMPSON ASSOCIATES, INC. 

82-879 D MA 04/25/83 4b(A) 

4d(1) 4g(1) 4o(1) 

1.17 1.33(a) 1.46(a) 4.21 4.22 

PERMANENT INJUNCTI

R. GERVAIS FARMS, INC. 82-42 CFTC 04/12/84 4d(2) 

4f(1) 4f(2) 4g(1) 4k(1) 

1.10(b) 1.12 1.17(a)(1) 1.20(a) 1.23 1.32 1.33 1.35(a) 

R.J. FITZGERALD & CO., INC. 99-1558-CIV-T-23F MD FL 07/06/99 4b(a)(i) 

4b (a)(iii) 4c(b) 

32.9(a) 32.9(c) 33.7(a) 33.7(b) 33.10(a) 33.10(c) 

COMPLAINT FILED 

281
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

R.J. O’BRIEN AND ASSOCIATES, INC. 

82-44 CFTC 01/23/86 4b 

4g 4k 

1.31 1.35(a) 1.55 166.2 166.3 

RACHMELOWITZ, DAVID 78-1069 SD FL 06/09/83 4c(b) 

4o(1) 

32.9 PERMANENT INJUNCTI

RADCLIFFE, MICHAEL 02-04 CFTC 6/10/02 4o(1) COMMISSION ORDER RADER, JAMES 78-0122 WD MO 12/13/78 4o PERMANENT INJUNCTI

RADER, JAMES 80-21 CFTC 02/23/82 4b 

4o 

RALLI B ROTHERS (BANKERS) S.A. 

82-15 CFTC 10/08/86 21.02 

RALPH, STANLEY J. JR. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

RAMCHANDRAN, N.S. 95-1598-C D NJ 03/24/99 4b(a)(i) 

4b(a)(ii) 4c(b) 4o(1)(A) 4o(1)(B) 4m 4k(2) 

32.9 33.7(f) 33.10 

PERMANENT INJUNCTI

RAMCO PETROLEUM INC. 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

RAMIREZ, ANTHONY S. 97C6528 ND IL 09/23/97 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 9(a)(1) 

PERMANENT INJUNCTI

RAMSEY, SCOTT T. 84-34 CFTC 11/08/84 4e RAND-BOND HOLDINGS, INC. 89-916-JLI CD CA 02/07/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

RAND-BOND OF NORTH AMERICA, INC. 

89-916-JLI CD CA 02/07/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

282
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RANDOLPH, REMINGTON SD-92-2 CFTC 03/24/92 8a(3)(D) 

RAPAPORT, DAVID J. 84-31 CFTC 09/07/84 4b(A) 

4b(B) 4b(C) 4d 

1.20(a) 1.21 

RAPAPORT, DAVID J. 84-6577 SD NY 09/17/84 4b(A) 

4b(B) 4b(C) 4d 

1.20(a) 1.21 

PERMANENT INJUNCTI

RASKIN, JEFFREY CARL 81-4409 CD CA 11/12/82 4 

4b 4h 4o 

PERMANENT INJUNCTI

RASKIN, JEFFREY CARL 85-72570 ED MI 09/16/86 4(a) 

4b(A) 

 PERMANENT INJUNCTI

RATTET, LESLIE E. 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

RAUSCHER PIERCE REFSNES, INC. 

82-9 CFTC 02/26/82 4d(2) 1.20(a) 

1.23 1.26(a) 1.31 1.32 

RAY E. FREIDMAN AND CO. 76-16 CFTC 11/02/76 4g 1.31 

1.35 

RAY, BRIAN W. 03-11 CFTC 4/22/03 4b(a)(1)(i) & 

(iii) 6(c) 

COMPLAINT FILED 

RAY, JAMES 79-828 D AZ 04/17/81 4c(c) 

4c(b) 

PERMANENT INJUNCTI

283
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RB&H FINANCIAL SERVICES LP 01-18 CFTC 1/17/03 4b 166.3 ALJ ORDER 

READ, ERON DEMIAN d/b/a NEW AGE TRADING TECHNIQUES 

00-14 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) COMMISSION ORDER 

REAGAN, GREGORY M. 96-3 CFTC 8/6/03 COMMISSION ORDER 

REARDON, FRANCIS R. 75-3 CFTC 12/08/75 4b(A) REDDICK, CHARLES 76-20 CFTC 11/17/76 4b 

REDDICK, CHARLES 76-2095R CD CA 07/30/76 4b PERMANENT INJUNCTI

REDDIN, MICHAEL G. 84-2066-ER CD CA 08/28/86 19(b) 

19(c) 4(a) 4b(a) 4b(c) 4o(1) 4o(2) 

31.1 31.2 31.03 

PERMANENT INJUNCTI

REDDY, STEPHEN F. 92-19 CFTC 02/04/98 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

REDLING, PETER MATTHEW 83-29 CFTC 05/12/83 4e 

REEVES, THOMAS G. 95-15 CFTC 08/20/97 

REFCO 95-2 CFTC 12/20/94 4d(2) 

4g(a) 6(c) 

1.12b 1.12(d) 1.20 1.21.01 1.22 1.23 1.25 1.26 1.32 1.33 1.36 166.3 

REFCO INC. 83-20 CFTC 02/17/83 4a(2)(B) 

4g(1) 

150.2 150.4 

284
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

150.11 150.12 1.31 1.35 1.37(a) 17.00 17.01 17.02 166.3 1.25 1.22 1.20 1.12 

REFCO INC. 88-18 CFTC 04/01/92 166.2 REFCO INC. 88-8 CFTC 02/11/88 4g(1) 

6(b) 

17.01(b)(6) 17.01(d) 166.3 

REFCO OVERSEAS LIMITED 04-27 CFTC 9/29/2004 4c(a) 1.38(a) COMMISSION ORDER REFCO, INC. 90-21 CFTC 08/28/90 4a(5) 

4g(1) 6(b) 

1.31 1.35 1.55 166.3 

REFCO, INC. 92-15 CFTC 03/12/92 4a(5) 

4g(1) 6(b) 

1.31 1.35 166.3 

REFCO, INC. 96-2 CFTC 01/24/96 4d(2) 

6(c) 

1.20 1.22 166.3 

REFCO, INC. 99-12 CFTC 05/24/99 4g 1.35(a-1)(2) 

166.3 

REFLEX ASSET MANAGEMENT CORP. 

SD-99-8 CFTC 11/15/99 ALJ ORDER 

REFLEX ASSET MANAGEMENT CORPORATION 

98CIV5270 SD NY 11/03/98 4b(a)(i) 

4b(a)(iii) 4o(1) 

PERMANENT INJUNCTI

REGAL COMMODITIES, INC. 84-6495-JE SD FL 07/01/85 4n(3)(A) 1.31 PERMANENT INJUNCTI

285
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

04/01/86 4.23 

4.32 

REGO GAINER FINANCIAL, INC. CV 02-1417 CD CAL 6/18/03 4(a) PERMANENT INJUNCTI

REGO GAINER, INC. CV 02-1417 CD CAL 6/18/03 4(a) PERMANENT INJUNCTIREHN, MARK E. 95-10 CFTC 05/20/99 4f(b) 

6c 

1.17(a)(1) 1.17(a)(4) 1.10(d)(1) 1.12(a)(1) 1.12(a)(2) 1.12(b) 

REID, CAMERON AND COMPANY 

87-06470-DT CD CA 12/14/87 4(a) 

4c(b) 

32.11 PERMANENT INJUNCTI

REIDY, WILLIAM J. 91-3 CFTC 07/29/97 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

REIFLER TRADING CORPORATION 

98-2 CFTC 01/22/99 4k(1) 166.4 

1.35(a-1) 

REIFLER, BRADLEY C. 98-2 CFTC 01/22/99 4k(1) 166.4 

REILY, JOHN B. 00-11 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 4c(b) 

4.41(a) 33.10(a) 33.10(c) 

COMMISSION ORDER 

REINER, JACK 78-55 CFTC 03/11/80 4c(b) 32.9 

32.7 32.5(a) 32.5(c) 

REINER, JACK 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

REIS, SEYMOUR 90-25 CFTC 12/17/91 4c(b) 33.7(f) 

33.10 166.3 

RELF, WILLIAM J. 00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

4.20(c) 4.21 

PRELIMINARY INJUNCTION 

286
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4m(1) 4o(1) 

RELIANT ENERGY SERVICES, INC. 

04-06 CFTC 11/25/03 4c(a)(A) & 

(B) 6(c) 6(d) 9(a)(2) 

COMMISSION ORDER 

RELIANT GLOBAL MARKETS, LLC 

03-12 CFTC 6/6/03 4(a) COMMISSION ORDER 

RENNECKER, JAMES 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

REPUBLIC ADVISORY CORPORATION 

81-1189 D NJ 01/23/82 4n(1) 

4o(1) 4b(A) 4b(C) 

4.31(a) 1.10(c) 1.14 

PERMANENT INJUNCTI

REPUBLIC NEW YORK SECURITIES CORP. 

02-03 CFTC 12/17/01 4b 

4d(a)(2) 4g(a) 

1.20 1.22 1.33 1.35 1.37 32.6 33.10 166.2 166.3 

COMMISSION ORDER 

REVERIE, LLC 04-2181 WD TN 9/13/2004 COMPLAINT FILED 

REYNOLDS, DANIEL G. 01-01 CFTC 7/25/03 4b(a)(i) & 

(iii) 4m 4o(1) 

ALJ INITIAL DECISION 

REYNOLDS, RICKEY W. 87-4 CFTC 12/09/88 4b REYNOLDS, RICKEY WAYNE 87-19 CFTC 12/09/88 4b 

287
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

REYNOLDS, WILLIAM W. 78-2240 WD TN 07/05/78 4c(b) 

4f 4g 

32.7 32.9 1.17 1.18 32.6 

PERMANENT INJUNCTI

RHEE, ANDREW DAVID 98CIV5270 SD NY 11/03/98 4b(a)(i) 

4b(a)(iii) 4o(1) 

PERMANENT INJUNCTI

RHEE, ANDREW DAVID SD-99-8 CFTC 11/15/99 ALJ ORDER RHOADES, DONALD 82-2062 SD FL 04/10/85 4o(1) 4.31(a) 

166.3 

PERMANENT INJUNCTI

RHOADES, DONALD 85-17 CFTC 03/29/85 4o(1) 4.31(a) 

166.3 

RICHARD FRANK COMPANY 84-24 CFTC 04/30/85 4a(2)(B) 150.12 

RICHARDS, STEVE 79-3558 SD FL 02/12/85 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

RICHARDS, THOMAS H. 95-12 CFTC 06/06/95 4o(1)(B) RICHARDS, THOMAS H. 96-C-0334 L 07/18/96 

288
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RICHARDSON SECURITIES, INC. 

78-10 CFTC 01/27/81 4g 1.35(a) 

RICHARDSON, GEORGE 80-21 CFTC 02/23/82 4b 

4o 

RICHMAN, JEFF SCOTT 91-CIV-6136 SD FL 08/06/92 4b 

4c(b) 

33.7(f) 33.10 166.2 166.3 

PERMANENT INJUNCTI

RICHMAN, JEFF SCOTT 92-23 CFTC 07/27/92 4b 

4c(b) 

33.7(f) 33.10 166.2 166.3 

RICHMAN, JEROME 78-12 CFTC 04/19/78 6(b) 

RICHTER, ROBERT ALFRED 81-12 CFTC 01/13/82 

RICHWELL INTERNATIONAL CONSULTANTS 

93-3494-C ND CA 05/26/94 4(a) PERMANENT INJUNCTI

RICHWELL INTERNATIONAL LTD. 

93-3494-C ND CA 04/18/95 4(a) PERMANENT INJUNCTI

RIDENHOUR, LESLIE H. 89-5 CFTC 03/24/93 4(g) 1.31 

1.35(a) 

RIDGEWAY ASSOCIATES, INC. 92-26 CFTC 08/11/92 4k(1) 166.2 

RIETHMAN, ROBERT J. 3:98CV0281AS N.D. IND. 1/12/00 4b(a)(i) 

4k(2) 4o(1) 

PERMANENT INJUNCTI

RIETZ, CHARLES 81-18 CFTC 09/17/82 4b 

4o(1) 

1.10c 1.10d 

289
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4k(1) 4m 4n 6(b) 

4.21 

RILEY, DANIEL P. SD-98-4 CFTC 06/22/99 8a(3)(G) 

8a(3)(M) 

RILEY, MARTIN J. SD-93-10 CFTC 09/29/94 

RIPLEY, DAMON 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

RIS COMMODITIES, INC. 91-3 CFTC 10/16/92 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 4g 

1.31(a)(1) 1.35(a-1)(2) 1.35(a-1)(4) 1.38 

RISK CAPITAL MANAGEMENT, INC. 

85-3 CFTC 07/03/85 4o(1) 

4n(3)(A) 4n(4) 

4.24 4.23(a) 4.22(b) 4.21(b) 

RISK CAPITAL TRADING GROUP 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

STATUTORY RESTRAINING ORDER 

RISK, THOMAS J. 77-3864 CD CA 06/26/80 4c(b) PERMANENT INJUNCTI

RISK, THOMAS J. 79-7 CFTC 06/11/80 4c(b) 32.5 

32.9 

RISSO, ANDREW F. 78-5 CFTC 09/15/78 RITTER, THOMAS 76-20 CFTC 11/17/76 4b 

4c 

RITTER, THOMAS 76-2095R CD CA 07/30/76 4b 

4c 

 PERMANENT INJUNCTI

RITTER, THOMAS 77-8 CFTC 05/12/86 4c 

4b(B) 

RITTER, THOMAS H. 80-11 CFTC 05/12/86 RMA PARTNERS 85-50 CFTC 02/27/87 4m 

ROBBINS FUTURES, INC. 03-05 CFTC 5/30/03 166.3 COMMISSION ORDER 

290
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ROBBINS, JOEL 03-05 CFTC 5/30/03 166.3 COMMISSION ORDER 

ROBERTS, ADRIAN KENNETH 95-16 CFTC 08/10/95 4m(1) ROBERTS, CLIFFORD SPENCER 82-44 CFTC 01/23/86 4b 

4k 

1.10(b) 166.2 

ROBERTS, JEFFREY 98-CIV-1365 SD NY 03/03/98 PRELIMINARY 

INJUNCTION 

ROBINSON, ASHLEY L. 75-3355 CD CA 10/22/75 4c(b) 

4m 

30.01 PERMANENT INJUNCTI

ROBINSON, JOHN WALKER 02 CIV 5497 SD NY 5/26/2004 4(a) 

4b(a)(2)(C)(i ) & (iii) 

1.1(b)(1) & (3) FINAL JUDGMENT 

ROCHE, LEONEL R. 90-1 CFTC 04/17/90 166.3 

RODGER & SPARKS, INC. SD-92-7 CFTC 11/18/92 8a(2)(D) 

8a(2)(H) 

RODGER, REID L. SD-92-7 CFTC 11/18/92 8a(2)(D) 

8a(2)(H) 

RODGERS, WILLIAM C. 83-53 CFTC 03/28/84 4c(a)(A) 

4e 4i 

1.38(a) 18.00 18.04 

RODIN, ALAN H. 76-2 CFTC 02/03/76 

RODMAN, WILLIAM 79-1201 SD NY 04/05/79 32.9 

32.11 32.5 

PERMANENT INJUNCTI

291
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.3 

RODRIGUEZ, GENE MANUEL 86-72878DT ED MI 08/18/87 4(a) PERMANENT INJUNCTIRODRIGUEZ, ROBIN 95-8 CFTC 01/08/98 4o(1)(A) 

4o(1)(B) 4c(b) 

1.46 166.3 

RODRIGUEZ, ROBIN 95-9 CFTC 01/08/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 

1.46 166.3 

ROEDER, JOYCE a/k/a JOYCE VALDEZ 

00-06 CFTC 2/28/00 4b(a)(i) 

4b(a)(iii) 4o(1) 4m(1) 

4.41(a) 4.41(b) 4.31(a) 4.31(b) 

COMPLAINT FILED 

ROESLER, RONALD HERMAN 02-12 CFTC 5/22/02 4c(a) 1.56(b) COMMISSION ORDER 

ROGERS, DAVID E. 80-3 CFTC 02/26/82 4m 

4o 

ROGERS, GERALD LEO 90-0332 CD CA 01/28/93 

07/22/93 

4c(b) 32.11 PERMANENT INJUNCTI

ROGERS, JAMES 84-243PHX D AZ 06/27/86 19 31.1 

31.2 31.3 

PERMANENT INJUNCTI

ROGERS, MARTIN K. 00-33 CFTC 9/25/00 6(c) COMMISSION ORDER 

ROGERS, RICHARD S. 89-7 CFTC 06/20/89 4b 

292
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ROGERS, WILLIAM 04-20 CFTC 7/13/2004 4b(a)(2)(i) & 

(iii) 4o(1) 4d 4g 

1.20 1.22 1.33 1.35 1.37 32.6 166.2 166.3 

COMMISSION ORDER 

ROMANO, LEE N. (II) 04-2181 WD TN 3/17/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

ROMBERG, RONALD BRUCE 95-6970 SD FL 11/05/98 4b(a)(i) 

4b (a)(iii) 4o(1) 4m(1) 

4.21 4.31 

PERMANENT INJUNCTI

ROMEO, TED 04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

ROMERO, ANGEL ANTONIO SD-96-8 CFTC 04/10/97 8a(2)(D) 

8a(2)(G) 8a(3)(M) 

ROMERO, FRED A. 84-30 CFTC 10/29/84 4b 

4o(1) 

RONALD STEPHEN HOLT CV 03 1826 PHX D AZ 9/18/03 4b(a) PRELIMINARY 

INJUNCTION 

ROONEY, RAYMOND W. 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

ROSE, CLAYTON 80-1723 D MD 12/31/80 4c(b) 

4c(c) 

32.9 PERMANENT INJUNCTI

ROSE, JACK L. 82-6108 SD FL 01/07/83 

10/24/84 

4 4h 4n(3)(A) 

4.32 PERMANENT INJUNCTI

293
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

ROSE, JACK L. 84-6717 SD FL 12/04/84 4(a) PERMANENT INJUNCTIROSE, JAMES H. 79-49 CFTC 12/04/79 6(b) 

4c(b) 

ROSEN, ALAN 80-15 CFTC 08/07/81 4b 

4o 4k 

ROSENBERG COMMODITIES, INC. 

80-28 CFTC 03/27/86 4g 1.37 

ROSENBERG, ALAN J. 80-29 CFTC 10/21/86 4b 

4c(a) 

1.38 

ROSENBERG, ALLAN S. SD-91-5 CFTC 03/31/94 

ROSENBERG, MURRAY IRA d/b/a PRO BROKER SERVICES, INC. a/k/a PRO-BROKER SERVICE, INC. 

97-2927 D. NJ 3/1/00 4b(a) 

4c(b) 4d(1) 4d(2) 9(a)(1) 

1.33(a)-(b) 33.3(b) 33.9 33.10 

DISTRICT COURT OPINION 

ROSENBLOOM, MICHAEL HOWARD 

83-54 CFTC 12/01/83 4e 

ROSENFIELD, NEIL ADAM SD-95-14 CFTC 04/06/95 

ROSENTHAL AND COMPANY 77-10 CFTC 11/13/86 

ROSENTHAL AND COMPANY 80-21 CFTC 06/07/85 4b 

4o 

ROSENTHAL, LESLIE 77-10 CFTC 11/13/86 

ROSS, MICHAEL 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ROSS, SCOTT C. 87-16 CFTC 09/22/87 4b(A) 166.3 

294
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ROSSI, ROBERT C. 99-4 CFTC 06/17/02 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 13a 13b 2(a)(i)(A)(iii) 

ALJ ORDER 

ROTH FINANCIAL, INC. 89-0915K SD CA 06/17/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

ROTH, WILLIAM 79-1663 SD NY 01/26/81 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

ROTH, WILLIAM B. 78-55 CFTC 05/19/81 4c(b) 32.9 

32.5 

ROTH, WILLIAM B. SD-81-1 CFTC 10/26/81 ROTHLIN AND WINDSOR CAPITAL MANAGEMENT, INC. 

AMD 01 CV 2320 D MD 12/17/02 ORDER 

ROTHLIN, ROBERT M. 78-54 CFTC 01/03/83 4b 

4c(b) 4d 6(b) 

1.10(b) 32.3 32.9 

ROTHSCHILD COMMODITIES CORPORATION 

78-1822A ND GA 11/17/78 4c(b) 32.6 

32.9 

PERMANENT INJUNCTI

ROTHSCHILD INTERNATIONAL, INC. 

89-0915K SD CA 06/17/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

ROTI, ANTHONY J. 89-5 CFTC 10/19/90 

ROTMISTRENKO, UDO SD 04-05 CFTC 8/6/2004 COMPLAINT FILED 

295
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ROTTMAN, SEYMOUR 78-43 CFTC 08/03/78 ROUMIANTSEUA, NATALIA 03 CV 9124 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

ROUSSO, DAVID 91-3 CFTC 07/29/97 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

ROWELL, ARTHUR DOUGLAS 04-02 CFTC 10/15/03 COMMISSION ORDER 

ROWELL, MARY A. 89-5 CFTC 03/24/93 4(g) 1.31 

1.35(a) 

ROWLAND, ROSS E. SR. 84-25 CFTC 07/22/85 4f(1) 1.10a 

3.11(c) 1.14(b) 3.31(b) 

ROYAL PIXLEY INC. 87-1494 ED NY 03/10/88 4(a) PERMANENT INJUNCTI

ROZILLO, RON SACV02-173 CD CAL 3/24/03 4(a) PERMANENT INJUNCTI

RUBEL, ROBERT J. 98-15 CFTC 08/13/98 4b(a) 

4o(1)(A) 4o(1)(B) 4m 

4.31(a) 4.31(b) 4.33(a)(7) 4.36(d)(1) 4.41(a) 4.41(b) 

RUBENSTRUNK, CHRISTOPHER 85-1555 ND CA 06/10/88 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

296
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RUDMAN, KEITH M. 82-37 CFTC 09/25/85 4b 

4c(a) 4g 

1.35 1.38 

RUDMAN, KEITH M. 89-5 CFTC 05/11/90 4c(a)(A) 

4c(a)(B) 6(b) 

1.38(a) 

RUDMAN, KEITH M. SD-95-4 CFTC 11/21/94 RUDOLF WOLFF FUTURES INC. 87-7 CFTC 02/27/87 4b(A) 

4b(B) 4b(C) 4k(1) 

166.2 

RUDY INC. 88-C-3-071 SD OH 05/02/89 6(d)1 

6(d)2 

1.20(a) 1.20(c) 1.55 33.7(a) 33.7(b) 1.33(a) 1.33(b) 

PERMANENT INJUNCTI

RUDY, ROBERT W. JR. 88-C-3-071 SD OH 05/02/89 6(d)1 

6(d)2 

1.20(a) 1.20(c) 1.55 33.7(a) 33.7(b) 1.33(a) 1.33(b) 

PERMANENT INJUNCTI

RUFENACHT, BROMAGEN AND HERTZ INC. 

87-16 CFTC 09/22/87 4b(A) 

4g(1) 4k(1) 4o(1) 

1.35(a-1) 1.35(a-2) 4.13(b)(1) 4.13(b)(2)(i) 17.01(d) 166.3 

RUIZ, HEIRBERTO EDDIE SD-93-5 CFTC 03/15/93 8a(3)(D) 

RUROEDE, KARL F. 78-66 CFTC 01/04/79 6(b) RUSSO, ANTHONY a/k/a TEDDY CONNAL 

02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

297
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

RUSSO, JAMES JOSEPH 04-80862 SD FL 9/13/2004 COMPLAINT FILED 

RUTENBERG, JOEL 85-3565 SD FL 10/21/88 4(a) 

4b(A) 

PERMANENT INJUNCTI

RUTMAN, ROBERT H. 97-3141 ED PA 10/30/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4d(1) 4d(2) 

1.33(a) 1.55 1.33(b) 1.56(b) 

PERMANENT INJUNCTI

RYAN, JOHN H. 91-10 CFTC 3/9/01 ALJ INITIAL DECISION 

RYAN, JOHN H. SD-93-17 CFTC 3/9/01 ALJ INITIAL DECISION 

RYAN, ROBERT 02-02 CFTC 10/12/01 4b(a)(i) 

4b(a)(iii)

 COMMISSION ORDER 

RYMAR, ROBERT 87-3 CFTC 12/08/87 4b(A) SABERI, ANDY 01-11 CFTC 10/23/02 4a(e) ALJ ORDER 

SABHARWAL, HARSIMRAN SINGH 

88-29 CFTC 07/26/89 4b(A) 166.2 

298
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SABIN, RABB SACV00940 C.D. CAL. 2/28/01 4c(b) 

4o(1) 

4.41(a) 33.10 

PERMANENT INJUNCTI

SAHAROFF, PAUL N. 78-48 CFTC 01/31/84 4b(A) 

4g(1) 4d(2) 

1.37 1.20(a) 1.21 

SALER AND COMPANY 85-14 CFTC 11/01/85 4i 15.01(c) 

18.04 

SALINAS, MATTHEW 03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

SALITRA, STANLEY 79-0670 SD NY 03/12/79 4c(b) 

4c(c) 

32.3 32.9 32.11 

PERMANENT INJUNCTI

SALMON, HORACE G. 80-19 CFTC 12/02/86 4d(2) 

4g 4i 6(b) 6(c) 9(b) 13(a) 

1.20(a) 1.23 1.37 17.01 18.00 18.04 

SALTER, CHRISTOPHER F. d/b/a CHRISTOPHER FENWICK 

00-18 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a) COMMISSION ORDER 

SALVAGE, MINDY S. 82-27 CFTC 09/12/86 4b(A) 

4b(B) 4b(C) 4d(1) 4d(2) 4h(2) 4n(3)(A) 4n(4) 4o(1) 

1.7 1.20(a) 4.20 4.21(a) 4.21(b) 4.21(c) 4.22(a) 4.21(g) 4.22(n) 4.23 1.31 1.25 1.22 1.20 1.12 

SAM FISHBERG AND COMPANY, INC. 

80-32 CFTC 12/02/85 4c(a) 1.38 

299
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SAMARU, LINTON 97-4443 CAL 12/15/98 

10/01/99 

4b(a)(2) PERMANENT INJUNCTI

SAMARU, LINTON a/k/a STEPHEN BRADSHAW 

CIV-97-4443 WMB C.D. CAL. 10/1/99 PAYMENT ORDER 

SAMEROFF, PHILLIP A. 78-63 CFTC 01/15/79 6(b) SAMPSON, FRANK L. JR. 85-3 CFTC 07/03/85 4o(1) 

4n(3)(A) 4n(4) 

4.24 4.23(a) 4.22(b) 4.21(b) 

SAMUELSON, DAVID A. SD-90-4 CFTC 07/26/90 

SAN DIEGO FOREIGN CURRENCY, INC. 

79-03851 CD CA 05/09/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

SAN FRANCISCO SUN HING BULLION 

92-9 CFTC 12/09/91 4(a) 

4b(A) 

SAN FRANCISCO SUN HING 90-5214R CD CA 12/17/91 4(a) PERMANENT INJUNCTI

300
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

BULLION LIMITED 4b(A) SANCHEZ, THOMAS 78-55 CFTC 05/25/79 4c(b) 32.3 

32.5(a) 32.5(c) 32.7 32.9 

SANCHEZ, WILLIAM 97CIV5255 SD NY 01/27/98 4b(a)(i) 

4b(a)(ii) 4o 9(a)(1) 4m(1) 

PRELIMINARY 

INJUNCTION 

SANDERS, CHARLES A. 83-40 CFTC 11/28/83 4o(1) 

4n(4) 

4.22(a) 4.22(b) 4.22(c) 

SANDERS, RICHARD 80-0689 SD NY 11/28/80 4 

4h 4b 

PERMANENT INJUNCTI

SANDOVAL, TACHO 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 4g 

1.38 1.31(a) 1.35(a) 

COMMISSION ORDER 

SANDS, TERRY A. 97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

SANTAGATA, JOSEPH 90-1 CFTC 10/10/89 4c(a)(A) 

4g 

1.31(a)(1) 1.35(a) 1.35(a-1)(2) 1.35(a-1)(4) 

SANTIMAURO, JOHN SD-92-6 CFTC 09/29/92 8a(3)(M) 

301
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SANTORO, JOSEPH A. 90-10 CFTC 04/24/90 4e 

SARABASA, KATHRYN 97-8 CFTC 9/24/03 4g 1.31(a) 

1.35(a) 1.35(a-1)(1) 

COMMISSION ORDER 

SARATOGA FUTURES, INC. 85-45 CFTC 09/27/85 4d(1) 

4k(1) 

SARMAD, SYED 84-39 CFTC 05/06/85 4k 

6(b) 

3.12(c) 

SARMIENTO, HENRY 78-18 CFTC 04/04/83 4c(b) 32.3 

32.5 32.9 

SARNOFF, PAUL 88-32 CFTC 06/20/89 4b(A) 

4b(B) 4c(b) 4g(1) 

1.35(a-1) 33.10(a) 33.10(b) 166.2 

SASIN, ROMAN 84-20 CFTC 07/29/84 4c(a)(A) 

4f 4i 6(b) 

1.14(b) 1.38 3.31(b) 18.04(e) 

SAUL STONE & COMPANY 86-5 CFTC 02/11/86 4b 166.3 

SAVAGE, JACK W. 76-1 CFTC 03/01/76 

SAVAGE, JACK W. 76-20 CFTC 11/26/80 4m 

4o 

SAVAGE, JACK W. 76-2095R CD CA 05/06/77 4b 

4c 

 PERMANENT INJUNCTI

SAVAGE, JACK WESLEY 80-3952 SD NY 10/22/80 4d(2) 1.10(a) PERMANENT INJUNCTI

302
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4f(1) 4f(2) 4k 4b 

1.10(b) 1.10(d)(1) 1.17(a)(1) 1.20(a) 1.32 

SAVICZ, JERRY L. 88-18 CFTC 04/01/92 4b(A) 

6(b) 

166.2 

SAVILLE, HERSCHELL 78-31 CFTC 05/25/79 

SAVILLE, HERSCHELL 78-55 CFTC 05/25/79 4b 

4c(b) 4g 4o 

32.5(a) 32.5(c) 32.7 32.8 32.9 1.31 1.35 

SAVILLE, HERSCHELL 78-8293 SD FL 06/05/79 4b 

4o(1) 

 PERMANENT INJUNCTI

SAVITSKY, MICHAEL 04-60744 SD FL 6/7/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

SAWYER, STEVEN J. 78-1335 SD FL 04/20/79 4c(b) 1.31 

32.6 32.7 

PERMANENT INJUNCTI

SAWYER, STEVEN J. 79-1406 SD FL 05/20/84 4c(b) 

4c(c) 

32.11 32.9 32.3 

PRELIMINARY INJUNCTION 

SAWYER, STEVEN J. 79-37 CFTC 05/22/85 4(b) 1.31 

32.6 32.7 

SAWYER, STEVEN J. 83-18 CFTC 03/28/89 4b(A) 

4o(1) 

4.21(a) 4.21(d) 

SAXENA, SANJAY SD-96-11 CFTC 02/07/97 SAXON AND WINDSOR GROUP, LTD. 

79-1580 ED NY 07/13/81 4c(b) 

4c(c) 4d(2) 4f(2) 

32.11 1.17(a) 1.20(a) 

PERMANENT INJUNCTI

SBARBATI, VINCENT J. 77-7 CFTC 06/21/78 SCHAEFER, EUGENE E. JR. 76-5 CFTC 07/14/76 SCHAER, J. BRIAN 95-1 CFTC 03/04/98 4c(a)(A) 

4c(a)(B) 

1.38(a) 

SCHAFER, CHRISTOPHER C. 1:98-CV-1594 ND GA 06/24/98 4b(a)(ii) PERMANENT INJUNCTI

303
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(1) 4d(2) 

SCHAFER, CHRISTOPHER C. H-96-1213 SD TX 06/08/98 4b(a)(ii) 

4o(1) 4n(4) 4d(1) 4d(2) 

4.20(b) 4.20(c) 4.13(b)(1) 4.13(b)(2) 4.30 

PERMANENT INJUNCTI

SCHAPS, OSCAR 05-06 CFTC 12/22/2004 4c(a) 1.38(a) COMMISSION ORDER 

SCHECK, DANNY LYLE 92-11 CFTC 2/14/01 ALJ INITIAL DECISION 

304
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SCHECK, DANNY LYLE SD-93-13 CFTC 2/14/01 ALJ INITIAL DECISION SCHENK, JOHN LARRY d/b/a LINZ GRUPPE, INC. & SYSTRAC, INC. 

2:98CV00216J C.D. UTAH 5/22/00 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.20(b) 4.20(c) 4.24(a) 4.21(a) 

PERMANENT INJUNCTI

SCHENK, JOHN STEVEN 2:98CV00216J CD UT 3/29/01 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.21(a) 4.24(a) 

PERMANENT INJUNCTI

305
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SCHENK, MARK 2:98CV00216J CD UT 3/29/01 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.21(a) 4.24(a) 

PERMANENT INJUNCTI

SCHENKER, CURTIS 93-1 CFTC 09/28/93 4c(a)(A) 

4c(a)(B) 

1.31(a) 1.35(a) 1.38(a) 

SCHEUER, DANIEL J. 84-3920KH CD CA 06/18/84 4d(2) 

4f(2) 4g(1) 

1.35(a) 1.18(b) 1.23 1.31 1.32 1.20(a) 1.17(a) 1.18(a) 

PERMANENT INJUNCTI

SCHIAVONE, FRANK 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

306
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SCHIERL, R. GARY 87-18 CFTC 07/07/88 4(a) SCHILLACI, ROBERT L. SD-89-1 CFTC 05/04/89 

SCHILLACI, ROBERT L. SD-95-3 CFTC 07/11/96 

SCHILLER, HARVEY 81-2 CFTC 12/17/80 4c(a)(A) 

4c(a)(C) 4b(B) 

1.38(a) 

SCHILLER, RONALD J. 96-4 CFTC 4/29/03 4b(a)(i) & 

(iv) 4g(a) 

1.35(d) 1.38(a) 

COMMISSION ORDER 

SCHILLER, RONALD M. 96-4 CFTC 04/18/96 4b(a)(i) 

4b(a)(iv) 4g(a) 

1.38(a) 1.35(d) 

COMPLAINT FILED 

SCHLECHT, ARTHUR J. 93-1567 SD FL 07/19/96 4c(b) 33.7(f) 

33.10 166.3 

PERMANENT INJUNCTI

SCHLEICHER, DON R. 80-2639 D DC 10/16/80 4b(A) 

4o(1) 4c(b) 4c(c) 

1.19 32.9 31.03 

PERMANENT INJUNCTI

SCHLEICHER, DONALD R. 76-4051-M D MA 11/11/76 4c(b) 

4d(2) 4f(2) 4g(1) 4o(1) 

30.-01 1.17 1.20 1.31 1.32 1.33 

PERMANENT INJUNCTI

SCHLEICHER, DONALD R. 79-28 CFTC 10/15/80 4c(b) 

4c(c) 4b 4o(1) 

1.19 32.3(b) 32.5(a) 32.6(a) 32.7(e) 32.9 

307
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.11 32.5(c) 32.5(d) 

SCHLEICHER, DONALD R. 86-6 CFTC 07/26/89 4b 166.3 

SCHLEICHER, RICHARD 80-2639 D DC 10/16/80 4b(A) 

4o(1) 4c(b) 4c(c) 

1.19 32.9 31.03 

PERMANENT INJUNCTI

SCHLEICHER, RICHARD A. 79-28 CFTC 10/15/80 4c(b) 

4c(c) 4b 4o(1) 

1.19 32.3(b) 32.5(a) 32.6(a) 32.7(e) 32.9 32.11 32.5(c) 32.5(d) 

SCHLEICHER, RICHARD A. 86-6 CFTC 07/26/89 4b 166.3 

SCHLEICHER, RICHARD ALAN 76-4051-M D MA 11/11/76 4c(b) 

4d(2) 4f(2) 4g(1) 4o(1) 

30.01 1.17 1.20 1.31 1.32 1.33 

PERMANENT INJUNCTI

SCHLOSSMACHER, SHAUN 98-CIV-1682 SD NY 10/10/98 

SCHMIDT, STEPHEN A. 02-10 CFTC 4/4/02 4o(1)(A) 

4o(1)(B) 

4.41(a) 4.41(b)(1)(i) 

COMMISSION ORDER 

308
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SCHMIDT, STEPHEN A. CV 04 3081 ED NY 7/21/2004 COMPLAINT FILED 

SCHMUCKLER, JOSEPH R. 88-6 CFTC 11/28/89 4b(D) 

4c(a)(A) 4c(a)(B) 4g 

1.35(a-1) 1.38(a) 

SCHNEIDER, MICHAEL 80-0689 SD NY 07/22/81 4 

4h 4b 

PERMANENT INJUNCTI

SCHNEIDER, RALPH 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

SCHNEIDER, RICHARD 78-1069 SD FL 04/27/78 4c(b) 

4o(1) 

32.9 32.5(a) 32.5(c) 32.8(a) 

PERMANENT INJUNCTI

SCHNEIDER, SHELDON H. 91-9 CFTC 02/13/97 4b(A) 

4b(B) 4b(D) 4c(a)(A) 

1.38(a) 

SCHNEIDER, SHELDON H. SD-93-12 CFTC 12/14/93 SCHOEMMELL, RONALD J. 00-10 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a) COMMISSION ORDER 

SCHOLDAN, EDWARD 91-181-HDM D NV 03/13/93 4b(A) 

4d(1) 

PERMANENT INJUNCTI

SCHONDORF, JEFFREY 93-6 CFTC 02/15/94 4b(a)(i) 

4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 4g(a) 

1.31(a) 1.35(a-1) 1.35(d) 1.38(a) 

SCHREIBER, CLAUS-PETER F. 78-8 CFTC 03/17/81 

SCHREIBER, CLAUS-PETER FRIEDRICH 

SD-95-25 CFTC 09/26/95 

SCHRIEBER, NORMAN 78-18 CFTC 04/04/83 4c(b) 32.3 

309
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

32.5 32.9 

SCHROEDER, BRUCE L. 78-907 D NJ 07/20/80 4c(b) 32.5 

32.9 

PERMANENT INJUNCTI

SCHROEDER, EDWARD W. 96-4563 CD CAL 08/19/97 

11/10/97 

4b(a) 4o 4o(1)(B) 4m 4k(2) 

4.20(a) 4.20(b) 4.20(c) 4.21 4.41(a) 

PERMANENT INJUNCTI

SCHROEDER, JAMES H. 84-4301 SD KS 05/16/86 4m 

4o(1) 4b(A) 4b(B) 4n(4) 4n(3)(B) 4n(3)(A) 4n(3) 

4.20(c) 4.22 4.21(a) 4.21(b) 1.31 4.23 

PERMANENT INJUNCTI

SCHUBERT, ROBERT H. 87-16 CFTC 09/22/87 4b(A) 

4o(1) 

4.13(b)(1) 4.13(b)(2)(i) 

SCHULMAN TRADING 85-34 CFTC 04/29/86 21.02 

SCHULZ, HANS J. 90-0332 CD CA 01/28/93 4c(b) 32.11 PERMANENT INJUNCTI

SCHULZE, RICHARD 85-1 CFTC 04/23/85 4o(1) 4.41(a) 

166.3 

SCHULZE, RICHARD 92-041-LDG D NV 08/03/93 4(a) 

4b(A) 

PERMANENT INJUNCTI

SCHWARTZ, LARRY 85-6704 SD FL 09/17/85 4(a) PERMANENT INJUNCTISCHWARTZ, MARK S. 88-26 CFTC 05/23/90 4b(A) 

4k(2) 4n(3) 4n(4) 4o(1) 

4.22 4.23 

SCHWARZ, THOMAS M. 89-5 CFTC 10/19/90 

SCIEPKO, RONALD S. 87-3 CFTC 12/17/86 166.3 

SCOFIELD, CHARLES 80-21 CFTC 02/23/82 4b 

310
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o 

SCOTT, CHARLES DENNIS 88-13 CFTC 03/22/88 4b(A) 

4g(1) 

1.31(a)(1) 1.35(a) 1.35(a-1)(1) 1.35(a-1)(2) 

SCOTT, CHERYL AMD 01 CV 2320 D MD 7/26/02 4b(a) 

4c(b) 4m(1) 4k(2) 4o(1)(A) 4o(1)(B) 

4.20(a) 4.20(b) 4.22(a) 

COMPLAINT FILED 

SCOTT, PETER AMD 01 CV 2320 D MD 12/17/02 ORDER 

SCOTT, PETER SD 02-03 CFTC 5/28/02 8a(2)(C) 

8a(2)(E) 

COMMISSION ORDER 

SCOTT, RONALD G. 01-09 CFTC 5/19/03 4c(b) 33.10 

166.3 

COMMISSION ORDER 

SCUDIERO, ANDREW 97-5 CFTC 01/12/99 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

3.10 3.12 

311
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(2) 4o(1) 4k(1) 9(a)(1) 

SEAY, DAVID L. 87-3-498 ED TN 01/17/90 4m 

4o(1) 4n(4) 

4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

SECURITIES AND COMMODITIES CORPORATION 

89-26 CFTC 06/25/91 4b(A) 

4n(1) 4n(3) 4n(4) 4o(1) 6(b) 

4.20(a)(1) 4.20(c) 4.21(a) 4.22(a) 4.22(c) 4.22(d) 4.23(a) 4.23(b) 4.41(b) 3.14(a) 

SEELENFREUND, STEPHEN 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 

1.38 COMMISSION ORDER 

SEGAL, GEORGE I. 89-27 CFTC 01/16/92 4c(a)(A) 4c(a)(B) 

4a(5) 4i 6(b) 

1.38 18.04 18.04(d) 

SEIDENTOP, AL 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

SEIFER, GERALD 78-31 CFTC 05/25/79 

SEIFER, GERALD 78-55 CFTC 05/25/79 4b 

4c(b) 4g 4o 

32.5(a) 32.5(c) 32.7 32.8 32.9 1.31 1.35 

SEIFER, GERALD 78-8293 SD FL 06/05/79 4b PERMANE NT 

312
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) INJUNCTION 

SEIGEL, HAROLD EDWARD 88-1 CFTC 04/26/88 4c(b) 

4g 

1.35(a-1) 1.35(b)(3) 33.7(d) 33.7(e) 33.10 166.3 

SELBY, PHILIP 01-07 CFTC 1/10/01 4c(a)(A) 

4c(a)(B) 4c(b) 4g(a) 

1.35(d) 1.38 33.10 

COMMISSION ORDER 

SELECT SECTOR RESEARCH & MANAGEMENT INC. 

SD-96-11 CFTC 02/07/97 8a(2)(H) 

SELECTIVE FUTURES MANAGEMENT, LLC 

00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 4n(4) 

4.20(c) 4.22 4.21 

PRELIMINARY INJUNCTION 

SEMEL & CO. 91-7 CFTC 07/21/92 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

SEMEL, PRESTON 80-32 CFTC 09/06/85 4c(a) 

SEMEL, PRESTON 91-7 CFTC 07/21/92 4b(A) 

4b(B) 4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 4g 

1.38(a) 

313
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SEMEL, PRESTON H. SD-90-2 CFTC 02/09/90 

SERFLING & ASSOCIATES, INC. 90-24 CFTC 01/31/91 4b(A) 

4b(B) 4k92) 4n(3)(A) 4n(4) 4o(1) 6(b) 9(a) 

1.31 4.20(a) 4.20(b) 4.23 4.41(b) 4.20(c) 4.21 4.22 4.31 

SERFLING, SCOTT R. 90-24 CFTC 01/31/91 4b(A) 

4k(2) 4n(3)(A) 4o(1) 9(a) 4b(B) 4k(3) 4n(4) 6(b) 

1.31 3.11 3.12 3.13 3.14 3.16 4.20(a) 4.21 4.21(g) 4.22 4.22(c) 4.23 4.31 4.31(f) 4.41(b) 

SERHANT, ROBERT B. 82-C-5851 ND IL 01/17/86 4b PERMANENT INJUNCTISETO, ROBERT G. 91-7 CFTC 08/27/92 4b(A) 

4b(C) 4b(D) 4c(a)(A) 4c(a)(B) 

1.38(a) 

SEVILLA, BERNARD JUSTIN 02-61160 SD FL 7/2/03 4b(a) 

4c(b) 4(a) 

1.1(b) 32.9 32.11 33.3 

PERMANENT INJUNCTI

314
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SEXTON, JAMES a/k/a TOMAS PEPAJ 

02-60769 SD FL 11/10/03 DEFAULT ORDER 

SHACKETT, ALLEN J. 78-39 CFTC 08/02/78 6(b) SHANER TRADING PARTNERS SD-97-8 CFTC COMPLAINT FILED SHANER TRADING PARTNERS, INC. 

4-96-70005 A 07/31/97 4b(a)(1) 

4o(1) 9(a)(1) 

PERMANENT INJUNCTI

SHANER, JANE F. 4-96-70005 A 07/31/97 PERMANENT INJUNCTI

SHANER, MARK STEPHEN 4-96-70005 A 07/31/97 4b(a)(1) 

4o(1) 9(a)(1) 

PERMANENT INJUNCTI

SHANER, MARK STEPHEN SD-97-8 CFTC COMPLAINT FILED SHARAM, HASSAN 03-22624 SD FL 12/5/03 4b(a)(2)(i) & 

(iii) 

1.1(b)(1) & (3) PRELIMINARY 

INJUNCTION 

SHARAM, HASSAN 03-22624 SD FL 4/16/2004 4b(a)(2)(i) & 

(iii) 

1.1(b)(1) & (3) DEFAULT ORDER 

SHAREEF, ALI Q. 79-1580 ED NY 07/31/81 4c(b) 

4c(c) 

32.11 1.17(a) 

PERMANENT INJUNCTI

315
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4d(2) 4f(2) 

1.20(a) 

SHARP III, EDGAR CLIFFORD SD-96-5 CFTC 03/19/96 8a(3)(M) 

SHARP, THOMAS ROBERT 88-6958 SD FL 11/30/89 4c(b) 33.7(f) 

33.10 166.2 33.7(d) 166.3 

PERMANENT INJUNCTI

SHASTA CAPITAL ASSOCIATES, LLC 

04CV1512 D NJ 4/1/2004 STATUTORY 

RESTRAINING ORDER 

SHATKIN TRADING COMPANY 85-46 CFTC 02/21/86 4c(a)(A) 

4g 6(b) 

1.33(a)(1) 1.35(a) 1.37(a) 1.46(a) 17.00(a) 

SHATKIN, HENRY S. 85-46 CFTC 02/21/86 4c(a)(A) 

4c(a)(B) 4e 4g 4i 6(b) 

1.33(a)(1) 1.3&9a) 1.38(a) 1.46(a) 17.00(a) 18.04 

SHATNER, DONALD G. 85-30 CFTC 03/28/86 4b(A) 

4b(B) 4b(C) 4b(D) 6(b) 9(a) 

SHAW, KENNETH 83-1591EBD SD FL 02/07/86 4b 

4o(1) 

 PERMANENT INJUNCTI

SHAW, RICHARD M. 82-0305 D MA 05/21/85 4o(1) 

4b(A) 

4.21(a) 4.21(b) 4.21(g) 4.20(b) 4.20(c) 4.22(a)(3) 

PERMANENT INJUNCTI

SHB COMMODITIES, INC. 92-21 CFTC 02/25/98 4b(A) 

4b(D) 4c(a)(A) 4c(a)(B) 4g(1) 

1.31(a) 1.35(a-1) 166.3 1.38(a) 

SHEARSON HAYDEN STONE, INC. 

78-11 CFTC 03/19/81 4d(2) 

4g(1) 

1.20(a) 1.22 

316
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4i 1.23 

1.32 1.21.01 1.46(a) 1.46(b) 17.00 18.00 

SHEARSON LEHMAN BROTHERS, INC. 

85-49 CFTC 09/30/85 4k(1) 

SHEARSON LEHMAN BROTHERS, INC. 

90-30 CFTC 09/25/90 4g 

4c(a) 4a(5) 

17.00 17.01 1.35(a-1)(ii) 166.3 

SHEEHAN, MICHAEL F. 78-26 CFTC 11/07/78 6(c) SHEFLER, DONALD N. 92-041-LDG D NV 02/03/94 4(a) 

4b 

 PERMANENT INJUNCTI

SHELALEY HOLDINGS, LLC CIV 02-61307 SD FL 11/14/03 4b(a) 1.1(b)(1) & (3) PERMANENT INJUNCTI

SHELDON, EDWIN JAY 1:99-CV-138 E.D TN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4o(1) 4k(2) 4n 9(a)(3) 

4.21 4.22 

PERMANENT INJUNCTI

SHELDON, MARSHALL 02-60769 SD FL 11/10/03 DEFAULT ORDER SHELLCLASS LIMITED, INC. 85-6936 SD FL 01/24/86 4c(c) 33.9(c) 

33.9(e) 

PERMANENT INJUNCTI

SHELTON, HOPE S. 88-23 CFTC 07/14/92 4c(b) 33.7(d) 

33.10 

317
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SHERGIN, WALTER 78-48 CFTC 01/31/84 4g(1) 

4d(2) 

1.37 1.20(a) 1.21 

SHETH, HASIT JAMES 78-1604CSH SD NY 12/07/78 4f 

4g 6(b) 

1.10 1.17 1.18 

PERMANENT INJUNCTI

SHIMER, ROBERT W. 04CV1512 D NJ 4/1/2004 STATUTORY 

RESTRAINING ORDER 

SHIVELY, HUNTER H-03-909 SD TX 7/16/2004 PERMANENT INJUNCTI

SHOBER, PEMBERTON H. 89-5 CFTC 10/19/90 

SHORE, LON W. 78-38 CFTC 10/23/78 

SHRI KRISHNA INVESTMENT RESEARCH CORP. 

CV 04 3081 ED NY 12/20/2004 PERMANENT INJUNCTI

SHUMSKI, THOMAS REILEY 79-3558 SD FL 02/12/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

SHUN PUN LIMITED 93-5598 SD NY 09/05/95 4b(a)(i) 

4o(1)(A) 4o(1)(B) 9(a) 4d(1) 4c(b) 

33.7 33.10 3.4 

PERMANENT INJUNCTI

SHUNG, LEUNG KA 98-1 CFTC 05/24/99 4(a) 

4b(a)(iv) 4b(a)(i) 

SHUSTER, BORIS a/k/a ROBERT SHUSTER 

03 4999 ED NY 11/24/03 4b(a)(2) 

4(a) 

1.1(b) PERMANENT INJUNCTI

SHUSTER, BORIS a/k/a ROBERT SHUSTER 

03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

SHUSTER, MICHAEL D. 82-36 CFTC 06/10/83 

SHUSTER, SHUSTER & SHUSTER, LTD. 

03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

318
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SHUSTER, SHUSTER, AND SHUSTER, LTD. 

03 4999 ED NY 11/24/03 PRELIMINARY 

INJUNCTION 

SHYNOVICK, JOHNNY E. 92-422-ECR D NV 03/12/93 4(a) PERMANENT INJUNCTI

SIBBITT, MARY JO 04-2181 WD TN 3/17/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

SICINSKI, HENRY S. 82-60115 ED MI 04/19/82 

06/06/82 

4b 4o 4n(3) 4n(4) 

RESTRAINING ORDER 

SIDEL, MICHAEL 93-13 CFTC 12/14/93 4c(a)(A) 1.38(a) SIDEREAL CORPORATION 83-CV-1885 ED MI 07/06/85 4o(1) 

4d 4n(3) 4b 

4.21(a) 4.41(b) 1.31 4.23 

PERMANENT INJUNCTI

SIDEWITZ, ROY M. 03-18 CFTC 4/6/2004 4o(1)(A) & 

(B) 

4.41(a)(1) & (2) 4.41(b)(1) & (2) 

COMMISSION ORDER 

SIDOTI, A FRANCIS 92-6832 SD FL 09/29/97 4f 

6(c) 8a(1) 

PERMANENT INJUNCTI

319
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SIEBENMANN, WERNER E.R. 90-23 CFTC 09/11/90 4c(a)(A) 

SIEGEL TRADING CO. 89-5364JMI CD CA 05/08/91 4c(b) 

4g 

33.7(f) 33.10 33.7(d) 1.35(a-1)(1) 1.31 1.35(a) 166.3 

PERMANENT INJUNCTI

SIEGEL TRADING COMPANY 91-6 CFTC 05/10/91 4c(b) 

4g 

1.31 1.35(a) 1.35(a-1)(1) 33.7(d) 33.7(f) 33.10 166.3 

SIEGEL TRADING COMPANY, INC. 

77-1 CFTC 10/29/85 4c(a)(A) 1.38(a) 

SIEGEL, DAVID H. 78-6508 SD FL 06/28/79 ORDER 

SIEGEL, JOSEPH E. 77-1 CFTC 09/11/85 4c(a)(A) 1.38(a) 

SIEGEL, RICK 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

SIGLER, DAVID 80-20 CFTC 10/28/85 4k SIGLER, MITCHELL JAY 86-33 CFTC 01/08/91 4b(A) 

320
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SIGMA, INC. 95-1598 D. NJ 2/29/00 4b(a)(ii) 

4c(b) 4o(1)(A) 4o(1)(B) 4m 4k(2) 

32.9 33.7(f) 33.10 

FINAL JUDGEMENT 

SILBERSTEIN, ANDREW M. 1:04-CV-666 D MD 4/8/2004 4b(a)(i)-(iii) 

4m(1) 4o(1)(A) & (B) 4n(4) 

4.20(a) & (b) 4.22(a) 

STATUTORY RESTRAINING ORDER 

SILBERT, STEVEN 78-1822A ND GA 11/17/78 4c(b) 32.6 

32.9 

PERMANENT INJUNCTI

SILBERT, STEVEN 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

SILVERMAN, JEFFREY L. 75-6 CFTC 05/05/76 4b 

SILVERMAN, JEFFREY L. 76-18 CFTC 03/14/77 

SILVERS, MEL 92-6427 SD FL 11/17/93 4b(a) 

4c(b) 4o 

33.7(f) 33.10 4.31(g) 4.41(a) 

PERMANENT INJUNCTI

SILVERS, MEL 94-9 CFTC 12/09/93 4b(a) 

4c(b) 4o 4b(a) 4c(b) 

4.31(g) 4.41(a) 33.7(f) 33.10 

SILVERSTEIN, WILLIAM D. 89-3 CFTC 11/10/88 4c(a) 1.38(a) SIMPLOT INDUSTRIES INC. 77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

SIMPLOT, JOHN R. 77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

SIMPLOT, JOHN R. 78-25 CFTC 03/07/78 

SIMTAG FARMS 77-13 CFTC 03/07/78 9(b) 

6(b) 

150.10 

321
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

6(c) 4a 

SINCLAIR, GARY M. 86-5 CFTC 02/11/86 4b 166.3 

SINGER, MARK LEE 97-4 CFTC 2/17/00 4c(b) 166.3 

33.10 

COMMISSION ORDER 

SINGER, MICHAEL 98-CIV-1365 SD NY 03/03/98 4(a) 

4b 

PRELIMINARY 

INJUNCTION 

SINGER, MICHAEL E. 83-15 CFTC 02/15/83 4e SINGER, MICHAEL E. 93-2 CFTC 08/23/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4b(a)(iv) 4c(a)(A) 4c(a)(B) 

1.38(a) 

SION, JONATHAN A. 95-1 CFTC 3/22/01 

SITZMANN COMMODITIES, INC. 96-5 CFTC 02/26/97 1.37 SITZMANN, DAVID E. 96-5 CFTC 02/26/97 4b(a)(i) 

4b (a)(iii) 6(c) 

18.04(a) 1.37 

SITZMANN, MARK J. 96-5 CFTC 02/26/97 4b(a)(i) 

4b(a)(iii) 4i 

18.04 

322
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SKOR, ROBERT B. 84-47 CFTC 07/01/85 4f 

6(b) 

1.14(b) 3.31(b) 

SKORUPSKAS, BARBARA A. 83-CV-1885 ED MI 10/14/84 

03/20/85 07/06/85 

4o(1) 4d 4n(3) 4b 

4.21(a) 4.41(b) 1.31 4.23 

PERMANENT INJUNCTI

SKRABLE, MICHAEL 01-01 CFTC 7/26/02 4b(a)(i) 

4b(a)(iii) 4m 4o(1)(A) 4o(1)(B) 

COMMISSION ORDER 

SKRODZKI, DAVID JOHN 89-17 CFTC 08/02/89 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

SKRYPKUN, TERENCE E. 77-21 CFTC 03/23/80 4b 

13(a) 

SLAVICEK, WILLIAM A. 83-C-4994 ND IL 12/09/83 4b(B) 

4b(D) 4d(10 4d(2) 

166.2 1.20(a) 

PERMANENT INJUNCTI

SLEDD, DANIEL 79-2778 WD TN 11/18/81 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

SLEDD, J. DANIEL 79-1233 MD FL 10/11/85 4c(b) 

4c(c) 

32.9 32.11 

PERMANENT INJUNCTI

323
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SLEDZ, B RIAN E. 89-18 CFTC 08/02/89 4b(A) 

4c(a)(A) 

1.38(a) 

SLEDZ, JAMES G. 89-19 CFTC 09/02/89 4b(A) 

4b(D) 4c(a)(A) 

1.38(a) 

SLONE, HAROLD G. 81-2250-W WD TN 09/11/85 4b(A) 

4b(C) 4o(1) 4 

 PERMANENT INJUNCTI

SLUSSER, JERRY S. 94-14 CFTC 8/27/03 ALJ INITIAL DECISION SLUSSER, JERRY W. 94-14 CFTC 08/19/99 SMALL, LEANDER M. 78-43 CFTC 08/03/78 

SMITH, ART SACV00940 CD CAL. 2/28/01 4c(b) 

4o(1) 

4.41(a) 33.10 

PERMANENT INJUNCTI

SMITH, DAVID LEE 80-315 SD FL 10/07/81 4o(1) PERMANENT INJUNCTI

324
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SMITH, DONALD STEVEN CV 02-4898 CD CAL 7/22/2004 4o(1)(B) 

4n(4) 4m(1) 4n(3)(A) 

4.20(a)(1) 4.20(b) 4.20(c) 4.13(c)(3) 1.31 4.13(c)(1) 4.30 4.31 4.34 4.35 

PERMANENT INJUNCTI

SMITH, GARY A. (REV.) 94-661-CIV MD FL 07/08/96 4b(a)(i) 

4o(1) 4k(2) 

ORDER 

SMITH, GEORGE COLE 92-00216 D HA 07/12/93 4b(a)(i) 

4b(a)(ii) 4o(1)(B) 4m(1) 4n(3)(A) 4n(4) 

1.31 4.23 4.20 4.21 4.22 

PERMANENT INJUNCTI

SMITH, JEFFREY A. C2-94-981 SD OH 01/27/98 4b(a)(i) 

4b(a)(ii) 4o(1) 4n(3)(A) 

4.20(c) 4.23 

PERMANENT INJUNCTI

SMITH, MICHAEL D. 93-9 CFTC 04/10/97 

SMITH, MONA L. 3:98CV0281AS ND IN 12/08/99 4b(a)(i) 

4o(1) 4b(a)(ii) 4m(1) 

4.20 PERMANENT INJUNCTI

SMITH, PHILIP M. 80-3103 SD NY 07/29/81 4d(2) 

4f(2) 4g 

1.20(a) 1.17(a) 1.31 

PERMANENT INJUNCTI

325
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4i 1.35 

SMITH, PHILIP M. 80-4399 SD NY 07/29/81 SMITH, PHILIP M. 81-18 CFTC 11/14/85 4b 

4o 

4.21 

SMITH, PHILIP M. 82-20 CFTC 12/30/91 4(k)(1) 

4f(1) 4d(2) 4g(1) 4f(2) 4i 6(b) 

1.10 1.12 1.17 1.20 1.21.01 1.22 1.23 1.25 1.27 1.28 1.31 1.35 1.37 15.01(b) 17.00(a) 17.01 

SMITH, VICTOR 03-2659 TJH CD CAL 12/13/2004 4b(a)(2)(i)&(i 

ii) 4c(b) 4o(1)(A)&(B) 

33.10 PERMANENT INJUNCTI

SMITH, VIRGIL E. 02-1783 D MN 3/26/2004 4b(a)(i) - (iii) 

4o(1)(A) & (B) 4m(1) 4k(2) 

4.24 4.25 

PERMANENT INJUNCTI

SMITHERS, CHRISTOPHER 00-08880 CIVZLOCH S.D. FL. 12/4/00 TERMPORARY RESTRAINING ORDER 

SMYTHE-WHEATLEY, LTD. 84-243PHX D AZ 12/15/87 19 31.1 

31.2 31.3 

PERMANENT INJUNCTI

SNIVELY, TODD JAMES 02-40041 ED MI 3/10/03 4b(a)(i)-(iii) 1.31 PERMANENT INJUNCTI

326
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4g(a) 1.35 

4.14(a)(9) 

SNIVELY, TODD JAMES SD 03-05 CFTC 1/13/2004 ALJ INITIAL DECISION SO, IVAN 94-0220-C ND CA 01/21/94 4(a) COMPLAINT FILED 

SOBOL, LAWRENCE D. 85-21 CFTC 11/27/85 4k 3.12 

SOCHA, RICHARD S. 83-40 CFTC 09/21/83 4o(1)(B) 

4n(4) 

4.22(a) 4.22(b) 4.22(c) 

SOCIEDE COMERCIAL SIU LAP LIMITIDA 

02 CIV 5497 SD NY 5/26/2004 4(a); 

4b(a)(2)(C)(i ) & (iii) 

1.1(b)(1) & (3) FINAL JUDGMENT 

SOCRATOUS, ATHOS 3:04CV169-S WD KY 12/1/2004 4(a) 

4b(a)(2)(iv) 

PERMANENT INJUNCTI

SOFIA, JOEL 03-74206 ED MI 11/12/03 4b(a)(2)(i)­

(iii); 4c(b); 4o(1); 4m(1); 4k(2); 4n(4) 

33.10; 4.22; 4.24; 4.21 

PRELIMINARY INJUNCTION 

SOGEMIN METALS, INC. 00-04 CFTC 2/7/00 4b(a)(i) 

4b(a)(ii) 

166.3 30.9 

COMMISSION ORDER 

327
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SOHN, CHARLES C. 94-0670 CD CAL 08/23/94 4(a) PERMANENT INJUNCTI

SOKOLOFF, MARC 80-28 CFTC 03/27/86 4c(a) 

SOLER, OSCAR C. 83-31 CFTC 08/06/84 4e 

4g(1) 

1.31 1.35(a) 

SOLIMAN, NAGY 85-31 CFTC 01/22/88 4m 

4o(1) 4b(A) 4n(3)(A) 

4.41(a) 1.31 4.32 4.41(b) 

SOLOMON, MAYER 92-21 CFTC 02/25/98 4b(A) 

4b(D) 4c(a)(A) 4c(a)(B) 4a(1) 

1.31(a) 1.35(d) 1.35(a-1) 1.38(a) 166.3 

SOLTES, JOHN ZOLTAN 82-60115 ED MI 02/22/84 4b 

4o(1) 4n(3)(A) 

4.21(g) PERMANENT INJUNCTI

SONNENBERG, JAMES J. SD-88-2 CFTC 05/17/88 SORKIN, HAROLD 82-8279 SD NY 08/31/83 

04/19/85 

4b(A) 4b(B) 4b(C) 4m 4n(3)(A) 4n(4) 4o(1) 

1.31 4.22 

PERMANENT INJUNCTI

SORKIN, HAROLD 84-29 CFTC 08/21/84 4n(3)(A) 

4n(4) 4b(C) 4m 4o(1) 4b(A) 4b(B) 

1.31 4.22 

SORKVIST, JOHN W. 92-19 CFTC 02/04/98 4b(A) 

4b(B) 4b(C) 4b(D) 

1.38(a) 

328
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(A) 4c(a)(B) 

SOROS, GEORGE 86-13 CFTC 03/03/86 4a(5) SOULE, CHARLES B. 97-10 CFTC 06/24/97 4c(a)(A) 

SOULE, STEVEN G. 99-4 CFTC 2/11/2004 4b(a)(i)-(iii) COMMISSION ORDER SOUTH AFRICAN CONTROLLED INVESTMENTS 

89-1923PN D MD 11/01/91 4(a) 

4b(A) 

PERMANENT INJUNCTI

SOUTHEASTERN VENTURE PARTNERS GROUP INC. 

7-96-CV-61 MD GA 07/01/96 

05/13/99 

R RESTRAINING ORDER 

SOUTHERN ADVERTISING & 97-7422 S.D. FL. 10/20/99 4b(a)(i) PERMANENT 

329
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

MARKETING, INC. 4b(a)(ii) 

4b(a)(iii) 4(a) 

INJUNCTION; FINAL ORDER 

SOUTHERN STATES TRADING COMPANY, INC. 

82-8212 SD NY 12/09/82 4d(2) 

4f(2) 

1.20(a) 1.17(a) 

PERMANENT INJUNCTI

SOUTHERN THUMB CO-OP 97-3 CFTC 10/7/99 4c(b) 32.2 

33.10 

COMMISSION ORDER 

SOUTHWEST RESEARCH ASSOCIATION, INC. 

97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

SOVEREIGN RESOURCE MANAGEMENT, INC. 

02-1783 D MN 3/26/2004 4b(a)(i) - (iii) 

4o(1)(A) & (B) 4m(1) 4k(2) 

4.24 4.25 

PERMANENT INJUNCTI

SPEAR, LEEDS & KELLOGG 93-25 CFTC 09/07/93 4b(a)(ii) 166.3 SPECIALIZED COMMODITY TIMING, LLC 

00-2071 RHK/SRN D. MINN. 9/15/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4m(1) 4o(1) 

PRELIMINARY 

INJUNCTION 

330
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SPECK, PETER ALEXANDER 91-23591J D SC 08/12/92 4m 

9(a) 4o 4b 4c(b) 4n(3)(A) 

4.13 4.41 33.10 4.20 4.21 

PERMANENT INJUNCTI

SPECTRA, LTD. 84-29 CFTC 10/05/84 4b(A) 

4o(1) 4o(2) 

SPEIER, GARY 81-24 CFTC 08/07/81 4a(2)(B) 150.10 

SPEIRS, JAMES T. 89-916-JLI CD CA 02/07/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

SPENTZOS, JAMES 94-13 CFTC 05/19/94 4c(a)(A) 1.38(a) 

166.3 

COMPLAINT FILED 

SPIEGEL, ROY D. 85-19 CFTC 01/12/88 4d(2) 

4g(1) 4f(2) 

1.20(a) 1.21 1.22 1.37 1.32 1.17(a) 

SPINALE, ANTHONY 81-24 CFTC 08/07/81 4a(2)B) 

4i 6(b) 

150.10 18.04 

SPINNER, DAVID H. 91-18 CFTC 07/09/91 4c(b) 33.7(f) 

33.10 166.3 

SPINNER, STEVEN A. 91-18 CFTC 07/09/91 4c(b) 33.7(f) 

33.10 166.3 

331
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SPITZER, RALPH 79-42 CFTC 09/20/82 4c(b) 

4f(1) 4f(2) 4g(1) 

1.17 1.18 32.6 1.31(a) 

SPITZER, RALPH 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

SPIVAK, GENNADY a/k/a GEORGE SPIVAK 

03-80032 SD FL 1/13/03 4(a) 

4b(a)(2) 

1.1 COMPLAINT FILED 

SPIVAK, GENNADY a/k/a GEORGE SPIVAK 

03-80032 SD FL 8/5/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTI

SS ASSOCIATES, A PARTNERSHIP 

82-60115 ED MI 02/22/84 4b 

4o(1) 4n(3)(A) 

4.21(g) PERMANENT INJUNCTI

STABILE, JOSEPH M. 77-0929-CB ED MO 09/12/77 4d 

4f 4g 

1.31 1.34 1.35 1.18 1.20 1.26 

PERMANENT INJUNCTI

STABILE, JOSEPH M. 77-8 CFTC 08/31/81 4b 

4c 4d 4f 4g 

STABILE, JOSEPH M. 81-1 CFTC 02/18/83 6(b) STAIN, ROBERT 86-36 CFTC 09/30/86 4g(1) 1.46(a) 

166.3 

STANDARD CONTINENTAL, INC. 93-0067 CD CA 03/14/94 4(a) PERMANENT INJUNCTI

STANDARD FOREX, INC. 93-0088 ED NY 08/09/93 4(a) 

4b(A) 4d(1) 

3.10 PRELIMINARY 

INJUNCTION 

STANDARD FORSTEN CORP. 93-0067 CD CA 03/14/94 4(a) PERMANENT INJUNCTISTANFORD MANAGEMENT CORPORATION 

83-18 CFTC COMPLAINT FILED 

STANLEY B. BELL & CO., INC. 90-29 CFTC 05/30/91 4b(A) 

4b(B) 4b(C) 4(b)(D) 

1.31(a)(1) 1.35(a) 1.38(a) 

332
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(A) 4c(a)(B) 4g 

STARKE, BOB 80-21 CFTC 02/23/82 4b 

4o 

STARR, JOE FRED 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

STARR, JOSEPH 84-1463 SD CA 09/03/85 19 31.1 

31.24 

PERMANENT INJUNCTI

STARYK, MICHAEL F. 95-5 CFTC 7/23/2004 4c(b) 33.10 COMMISSION ORDER 

STEIGERWALD, TONY W. 90-25 CFTC 12/17/91 4c(b) 33.7(f) 

33.10 166.3 

STEIN, ALAN 3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

STEIN, MURRAY L. 89-23 CFTC 12/10/96 

STEINBERG, ROBERT 80-835 D GA 09/14/81 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

STEINER, JOEL 77-2678EW SD NY 06/22/77 4c(b) 

4o(1) 

30.01 32.8(c) 

PRELIMINARY INJUNCTION 

STEINER, JOEL 79-1 CFTC 09/27/79 

STEINER, JOEL 88-6958 SD FL 10/11/89 4c(b) 

6(b) 4f 4k 

33.7(f) 166.2 33.7(d) 3.15 3.31 3.12(a) 166.3 33.10 

PERMANENT INJUNCTIO

STEINER, JOEL 89-21 CFTC 09/13/89 4c(b) 

4k 

3.12(a) 33.7(d) 33.7(f) 

333
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

33.10 

STEINER, LESLIE 88-6958 SD FL 10/11/89 4c(b) 

6(b) 4f 4k 

33.7(f) 33.10 166.2 33.7(d) 3.15 3.31 3.12(a) 166.3 

PERMANENT INJUNCTI

STEINER, LESLIE 89-21 CFTC 09/13/89 4c(b) 

4k 

3.12(a) 33.7(d) 33.7(f) 33.10 

STEINERT, STEVEN I 84-30 CFTC 12/26/84 4b 

4o(1) 

STENBERG, JOHN R. 03-01 CFTC 11/7/02 4o(1)(A) 

4o(1)(B) 

4.41(a)(1) 4.41(a)(2) 

COMMISSION ORDER 

STEPHEN ALAN PIERCE, individually and d/b/a RAPID FIRE SWING TRADING and THE CHART TRADERS 

02-15 CFTC 1/21/03 4n(3)(A) 

4o(1)(A) & (B) 

4.33 4.41(a) 4.41(b)(1)(i) 

COMMISSION ORDER 

STEPHENS, DWIGHT H. 85-1555 ND CA 11/06/87 4(a) 

4b(A) 4b(C) 

PERMANENT INJUNCTI

STEPHENS, JAMES E., III 1:00-CV-0184-4 MD GA. 11/20/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4o(1)(A) 4o(1)(B) 

33.10 4.30 

PRELIMINARY INJUNCTION 

STEPHENS, WILLIAM M. SD-00-04 CFTC 9/6/00 8a(11) COMMISSION ORDER 

334
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

STERLING CAPITAL COMPANY 80-835 D GA 09/14/81 4c(c) 

4c(b) 

PERMANENT INJUNCTI

STERLING FOREX, LLC a Washington Limited Liability Corporation 

CV02-2076 WD WA 10/3/02 4b(a)(i) 

4b(a)(iii)

 PRELIMINARY 

INJUNCTION 

STERLING FX INTERNATIONAL LLC 

02-6619 CD CAL 5/11/2004 4(a) DEFAULT ORDER 

STERLING INVESTMENT OF AMERICA (OREGON) 

98-9 CFTC 06/19/98 4c(b) 

4b(a) 4k 

33.10 166.2 

STERLING INVESTMENTS 98-9 CFTC 06/19/98 4c(b) 

4b(a) 4k 

33.10 166.2 

STERLING INVESTMENTS OF AMERICA, INC. (FLA 

98-9 CFTC 06/19/98 4c(b) 

4b(a) 4k 

33.10 166.2 

STERLING TRADING GROUP, INC. 

04-21346 SD FL 6/7/2004 COMPLAINT FILED 

STERN, ANDREW N. 04-21346 SD FL 6/7/2004 COMPLAINT FILED STERN, DAVID I. 80-29 CFTC 01/21/87 4b 

4c(a) 

1.38 

STEVENS, DOUGLAS C 03-1379VRW ND CAL 5/15/03 4b(a)(2)(i)­

(iii) 4(a) 

1.1(b)(1)­1.1(b)(3) 

PRELIMINARY INJUNCTION 

STEVENS, DOUGLAS BRIAN SD 04-07 CFTC 8/12/2004 COMMISSION ORDER 

STEVENS, MARK G. 97 C 7061 N.D. IL. 3/24/00 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 

PERMANENT INJUNCTI

335
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1) 

STEVENS, RAUL P. SD-85-1 CFTC 11/22/85 STEWART KERI L. 98-6564 S.D. FL. 11/24/99 4f(a) 

4k(1) 4k(5) 

3.10(a)(2)(i) FINAL JUDGEMENT 

STEWART, MICHAEL 00-06 CFTC 2/28/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMPLAINT FILED 

STG GLOBAL TRADING, INC. f/d/b/a GLOBAL FOREX TRADING, INC. 

04-21346 SD FL 6/7/2004 COMPLAINT FILED 

STOCHEL J. R. AND ASSOCIATES 

81-631 ND IN 11/22/83 4m 

4n(3)(A) 4n(1) 

4.21(b) 4.22(c) 4.23 1.31(a) 

PERMANENT INJUNCTI

STOCHEL, JAMES R. 81-631 ND IN 04/20/82 

11/22/83 

4m 4n(3)(A) 4n(1) 

4.21(b) 4.22(c) 4.23 1.31(a) 

PERMANENT INJUNCTI

STOCKTON, JEROME 79-3558 SD FL 02/06/85 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

STONE, DAVID 79-28 CFTC 10/15/80 4c(b) 32.3(b)(1) 

STONE, THOMAS H. 86-5 CFTC 02/11/86 4b 166.3 

STONEY, LAURENCE O. JR. 84-16 CFTC 11/16/83 4e 

4g(1) 

1.31 1.35(a) 

STOTLER AND COMPANY 80-7 CFTC 09/30/86 4b 

4o 4k 4n 8a(3) 

1.10(c) 1.10(d) 

STOTLER AND COMPANY 90-18 CFTC 08/21/90 4f(2) 1.10(d) 

1.17(a) 1.17(d) 

STOTLER FUNDS, INC. 90-C4387 ND IL 10/15/91 4o(1)(B) 4.21(g)(2) 

4.21(h) 

PERMANENT INJUNCTI

336
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

STOUT, LAWRENCE WAYNE 81-4 CFTC 07/20/82 6(b) STOVALL AND STOVALL, INC. 75-7 CFTC 12/06/79 

STOVALL, RAWLIN L. 75-7 CFTC 12/06/79 4 

STRATEGIC METALS INTERNATIONAL, INC. 

82-3 CFTC 11/20/81 4 

4h 4b 4c(b) 4c(c) 4m 4o(1) 

32.11 32.9 

STRATEGIC METALS INTERNATIONALE, INC. 

81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

STRATEGIC TRADING GROUP, INC. 

01-8350 SD FL 7/15/02 4c(b) 32.9 

32.11 33.3 32.5 4.14(a)(9) 

PERMANENT INJUNCTI

STRAUSS, JOHN P. 86-6 CFTC 12/02/86 166.3 STRIAR, BERNARD “BEN” 84-0636 SD CA 01/27/86 4m 

4o(1) 4n(4) 

4.21 4.22 

PERMANENT INJUNCTI

STRID, GREGORY A. 83-49 CFTC 08/04/83 4e 

STRULLE, RONALD H. 80-13 CFTC 07/03/80 6(b) 

STRUM, WALTER 78-65 CFTC 01/24/83 4b 

4o 

SUBA, THOMAS 83-4 CFTC 06/27/86 4b 

9 4d 4g 

1.20 166.3 1.32 1.35 

337
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(A) 1.31 

SUEN, ALAN 93-3494-C ND CA 05/26/94 4(a) PERMANENT INJUNCTISULEIMAN, NASSAIM R. 77-9 CFTC 01/05/79 4a(2) 

4g(4) 4i 

1.35(d) 18.00 150.4 

SULLIVAN, BRIEN 97-01478ACK D HA 09/28/98 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(a) 4.20(b) 

PERMANENT INJUNCTI

SULLIVAN, DENNIS M. 89-5 CFTC 10/19/90 SUMITOMO CORPORATION 98-14 CFTC 05/11/98 6(c) 

6(d) 9(a)(2) 

SUMMERS, H. DEAN 77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

SUMMIT TRADING SYSTEMS 80-0689 SD NY 12/12/80 4 

4b 4h 

PERMANENT INJUNCTI

SUN HING BULLION INVESTMENT 

92-9 CFTC 12/09/91 4(a) 

4b(A) 

SUN HING BULLION INVESTMENT LIMITED 

90-5214R CD CA 12/17/91 4(a) 

4b(A) 

 PERMANENT INJUNCTI

SUN PLATINUM GROUP LLC 03 CV 7112 SD NY 8/24/2004 4(a) 

4b(a)(2)(i) & (iii) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

SUN, HARRY 93-0088 ED NY 12/06/94 4(a) 

4b(A) 4d(1) 

3.10 PERMANENT INJUNCTI

SUNDHEIMER, STEPHEN M. 79-22 CFTC 09/16/81 4c(a)(A) 

338
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SUPPA, MARK J. SD-95-9 CFTC 01/30/95 SUTER, RICHARD W. 80-24 CFTC 09/19/80 4o 

SUTTON ROSS ASSOCIATES, INC. 

82-22 CFTC 03/21/85 4b(A) 

4o(1) 4m 4n(3)(A) 4n(4) 

4.21 4.22(c) 4.21(g)(1) 4.22(a) 4.22(h) 4.23(a) 

SUTTON, RALPH ARTHUR 86-23 CFTC 04/15/86 4n(4) 

4o(1) 4o(2) 

4.21(a) 4.22(a) 4.20(C) 

SVAGDIS, EDWARD J. 80-315 SD FL 05/29/81 4o(1) PERMANENT INJUNCTISVAGDIS, EDWARD J. 81-1749MA D MA 07/10/81 4b(A) 

4d(1) 4n(3)(A) 4n(4) 4o(1) 

4.22(a) 4.23(a) 1.7 4.21(a) 4.21(b) 

PERMANENT INJUNCTI

SVAGDIS, EDWARD J. 82-1 CFTC 11/04/81 4b(A) 

4d(1) 4n(3)(A) 4n(4) 4o(1) 

1.7 4.21(a) 4.21(b) 4.22(a) 4.23(a) 

SWANNELL, RICHARD 00-28 CFTC 9/6/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

SWANNELL, RICHARD 03-2979 CD CAL 4/29/03 6(c) 4.41(b) COMPLAINT FILED SWARTZ, RONALD J. 98CIV7505 ND IL 05/27/99 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.20(a) 4.20(b) 4.20(c) 4.30 4.31(a) 

PERMANENT INJUNCTI

339
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SWARTZLANDER, PHILIP J. 83-57 CFTC 05/25/84 4b(A) 

4b(B) 

SWAYNE, LEA ANNE 92-443E(M) SD CA 11/29/93 4(a) 

4b(A) 

PERMANENT INJUNCTI

SWEEM, GREGORY H. 88-152-B SD IA 06/22/89 4b(A) 

4b(C) 9(a) 4d(1) 4d(2) 

1.20(a) PERMANENT INJUNCTI

SWEENEY AND ASSOCIATES 81-5651 ND IL 01/14/82 4b 

4n(3)(A) 4n(4) 4o(1) 

1.31(a) 4.21(a) 4.21(b) 4.22(c) 4.23 4.24(a) 

PERMANENT INJUNCTI

SWEENEY AND ASSOCIATES 82-19 CFTC 10/17/83 4b 

4n(3)(A) 4n(4) 4o(1) 

1.31(a) 4.21(a) 4.21(b) 4.22(c) 4.23 4.24(a) 

SWEENEY, CHARLES N. 93-25 CFTC 09/07/93 4b(a)(ii) 166.3 SWEENEY, JAMES J. 81-5651 ND IL 12/29/81 

01/14/82 

4b 4n(3)(A) 4n(4) 4o(1) 

1.31(a) 4.21(a) 4.21(b) 4.22(c) 4.23 4.24(a) 

PERMANENT INJUNCTI

SWEENEY, JAMES J. 82-19 CFTC 10/17/83 4b 

4n(3)(A) 4n(4) 4o(1) 

1.31(a) 4.21(a) 4.21(b) 4.22(c) 4.23 4.24(a) 

SWEENEY, PATRICK 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

340
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

SYSTEMS OF SUCCESS – WINDOW TO PROFIT d/b/a SYSTEMS OF SUCCESS 

00-27 CFTC 9/6/00 4o(1)(A) 

4o(1)(B) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

SZACH, SCOTT N. 01-05 CFTC 1/8/01 4d(2) 

4g(a) 6(c) 

1.10(d) 1.12(h) 1.18(a) 1.20 166.3 

COMMISSION ORDER 

SZE, CHUNG FUNG 92-259 ED NY 08/24/94 4(a) 

4b(A) 4d(1) 

3.10 PERMANENT INJUNCTI

SZUCHMAN, LOUIS J. 79-1406 SD FL 05/20/84 

02/19/85 

PRELIMINARY INJUNCTION 

T & D MANAGEMENT COMPANY 81-0633 D UT 08/26/81 4o(1) PERMANENT INJUNCTI

T & D MANAGEMENT COMPANY 82-12 CFTC 03/03/82 4m 

4n(3) 4o(1) 6(b) 

4.21(a) 4.21(b) 4.23 4.31(a) 4.31(b) 

T. YOUNG & COMPANY, INC. 85-32 CFTC 09/20/85 4d 

4n(4) 

1.7 1.20(a) 1.33(a) 4.22(h) 4.24(a) 

T.S.F. TRADING CO., INC. 79-0670 SD NY 03/12/79 4c(b) 

4c(c) 

32.3 32.9 32.11 

PERMANENT INJUNCTI

TABB, EDWARD N. 97-7422 S.D. FL. 10/20/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PERMANENT 

INJUNCTION; FINAL ORDER 

341
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TAFT, FREDERICK W. 95-6221 SD FL 11/27/96 4m(1) 

4o(1)(A) 4o(1)(B) 4b(a)(i) 

4.41(a)(1) 4.41(a)(2) 

PERMANENT INJUNCTI

TAGGARES, PETER J. 77-13 CFTC 03/07/78 9(b) 

6(b) 6(c) 4a 

150.10 

TAMB INTERNATIONAL, INC. CV 03 0177 ED NY 1/7/03 4(a) 

4b(a) 

COMPLAINT FILED 

TAMBIEV, RUSSELL a/k/a ROUSLAN OR RUSSLAN TAMBIEV AND RUSSELL TAMB 

CV 03 0177 ED NY 1/7/03 4(a) 

4b(a) 

COMPLAINT FILED 

TAN, DENNIS K. 88-1571 D AZ 09/28/88 

04/15/91 

4b(A) 4b(B) 4b(C) 9(a) 4o(1) 4m(1) 

4.21 4.22(a) 4.22(c) 4.22(d) 4.22(e) 4.23 4.20(b) 4.20(c) 

PERMANENT INJUNCTI

TAN, DENNIS K. 88-31 CFTC 09/28/88 4b(A) 

4b(B) 4b(C) 9(a) 4o(1) 4m(1) 

4.21 4.22 4.23 4.20(b) 4.20(c) 

342
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TAN, THOMAS 93-0067 CD CA 12/19/94 4(a) PERMANENT INJUNCTI

TARA SECURITIES CORPORATION 

88-6958 SD FL 10/11/89 4c(b) 

6(b) 4f 4k 

33.7(f) 33.10 166.2 33.7(d) 3.15 3.31 3.12(a) 166.3 

PERMANENT INJUNCTI

TARA SECURITIES CORPORATION 

89-21 CFTC COMPLAINT FILED 

TAUBMAN, GLENN R. 98-6564 S.D. FL. 1/21/00 4f(a) 

4k(1) 4k(5) 

3.10(a)(2)(i) PERMANENT INJUNCTI

TAYBI, MOHAMED NAJIB 00-12 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) COMMISSION ORDER 

TAYLOR COMMODITY CORPORATION 

79-0609-H ND TX 03/30/80 4c(b) 32.6 

32.7 

PERMANENT INJUNCTI

TAYLOR COMMODITY CORPORATION 

79-19 CFTC 05/23/80 4f(2) 

4c(b) 4f(1) 5(b) 

1.17(b)(1) 32.6(a) 1.18(a) 1.35(a) 1.10(d) 32.6(f) 

TAYLOR, RICHARD J. 78-49 CFTC 11/20/81 

TAYLOR, RICHARD J. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.3(b) 32.6 32.7 

PERMANENT INJUNCTI

TAYLOR, RICHARD J. 79-19 CFTC 05/23/80 13(a) 

4f(2) 4c(b) 4f(1) 5(b) 

1.17(b)(1) 32.6(a) 1.18(a) 1.35(a) 1.10d 32.6(f) 

TAYLOR, VELDON DEE 81-0633 D UT 08/26/81 4o(1) PERMANENT INJUNCTI

TAYLOR, VELDON DEE 82-12 CFTC 03/03/82 4m 

4n(3) 4o(1) 

4.21(a) 4.21(b) 4.23 

343
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

6(b) 4.31(a) 

4.31(b) 

TAYLOR, WILLIAM H. 01-23 CFTC 9/30/03 6(c) 

6(d) 9(a) 

COMMISSION ORDER 

TDD ENTERPRISES 02-60769 SD FL 8/14/03 4c(b) 1.1 

32.5 32.9 32.11 33.3 

PERMANENT INJUNCTI

TEC INDUSTRIES, INC. 81-2250-W WD TN 01/30/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

TECH TRADERS, INC. 04CV1512 D NJ 4/1/2004 STATUTORY 

RESTRAINING ORDER 

TECH TRADERS, LTD 04CV1512 D NJ 6/24/2004 COMPLAINT FILED 

TECH-COMM LIMITED PARTNERSHIPS 

97-5691 INN. 02/23/99 4b(a)(i) 

4b(a)(ii) 

PERMANENT INJUNCTI

TECHNO TRADING, INC. 95-8 CFTC 01/08/98 4c(b) 33.10 

166.3 

TEMPELAR, SIMON 98-CIV-1365 SD NY 03/03/98 PRELIMINARY 

INJUNCTION 

TEMPLE, LONNIE L. 79-0609-H ND TX 03/03/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

TEMPLE, MICHAEL 3:00CV103-V W.D. NC. 6/21/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4(a) 

PRELIMINARY 

INJUNCTION 

TEMPLE, SHAWN PATRICK 90-24 CFTC 04/30/91 4b(A) 

4o(1) 4k(2) 

TEMPLER INTERNATIONAL, 97CIV5255 SD NY COMPLAINT FILED 

344
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

LTD. TENNESSEE RIVER COAL COMPANY, INC. 

81-2250-W WD TN 01/22/87 4b(A) 

4(C) 4o(1) 

 PERMANENT INJUNCTI

TENNEY, ARNOLD 77-2678EW SD NY 05/19/78 4c(b) 

4k 4o(1) 

30.01 32.3 32.8 

PERMANENT INJUNCTI

TENNEY, ARNOLD 79-1 CFTC 09/27/79 4c(b) 

4o(1) 

32.9 

TEPLITZ, STEPHEN M. 79-60 CFTC 05/06/81 1.14(b) TERRAZAS, FREDERICK 87-06486R CD CA 11/09/88 4c(b) 

4b(A) 

32.11 32.9 30.2 

PERMANENT INJUNCTI

TESTACCIO, RICHARD THOMAS 83-32 CFTC 09/28/83 4e THALER, ELLIOTT 89-6 CFTC 05/23/90 4b 

THALER, MICHAEL SD-98-3 CFTC 12/18/98 8a(3)(M) 

8a(4) 

THD, INCORPORATED 88-C-3188 ND OK 05/22/89 1.57(c) PERMANENT INJUNCTI

THE ANDERSONS, INC. 99-5 CFTC 01/12/99 4(a) 

4c(b) 

32.2 

THE BERKSHIRE CV-97-838MA D OR 07/22/98 4b(a)(i) PERMANENT INJUNCTI

345
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

INTERNATIONAL HEDGE FUND L.P 

4b(a)(ii) 4m(1) 4o(1) 

THE DONALD M. FISHBACK COMPANY, INC. 

01-03 CFTC 11/16/00 4c(b) 

4o(1) 

33.10 4.41(a) 4.41(b)(1)(i) 8a(3) 8a(4) 

COMPLAINT FILED 

THE EDWARD W. SCHROEDER LIVING TRUST 

96-4563 CD CAL 07/11/96 4b(a)(i) 

4o(1) 9(a) 4k(2) 4m(1) 

4.20(a) 4.20(b) 4.20(c) 4.41(a) 4.21 

PRELIMINARY INJUNCTION 

THE GREAT MINISTER GROUP, INC. 

02-61160 SD FL 7/2/03 4c(b) 32.9 

32.11 33.3 

PERMANENT INJUNCTI

THE KENNETH ROBERTS COMPANY 

95-16 CFTC 08/10/95 4m(1) 

THE MARQUIS GROUP, INC. 03-74206 ED MI 11/12/03 4b(a)(2)(i)­

(iii); 4c(b); 

33.10; 4.22; 4.24; 4.21 

PRELIMINARY INJUNCTION 

346
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4o(1); 4m(1); 4k(2); 4n(4) 

THE MOCATTA CORPORATION 89-3 CFTC 11/10/88 4c(a) 1.38(a) 

THE WHITEHALL TRUST 98CIV2908 SD NY 05/07/98 4b(a)(i) 

4o(1) 9(a)(1) 4m(1) 

PERMANENT INJUNCTI

THEIS, STEPHEN O. 85-6 CFTC 01/09/86 4c(a)(A) 

4c(a)(B) 

1.38(a) 

THEMY, TIM 75-3355 CD CA 10/22/75 4c(b) 

4m 

30.01 PERMANENT INJUNCTI

THOMAS DOOLEY, INC. a/k/a THOMAS DOOLEY INVESTMENTS 

03-80526 SD FL 6/11/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

THOMAS, ALBERT W. 90-32 CFTC 09/22/92 4b(A) 166.3 

THOMAS, BERNADETTE 00 C 7344 ND IL 3/27/02 4b(a)(i) 

4b(a)(iii) 

166.2 COMPLAINT FILED 

THOMAS, JOHN 2:04CV00804 BSJ D UT 9/1/2004 COMPLAINT FILED 

THOMAS, KATHLEEN 89-20 CFTC 03/20/90 6(b) 1.10(d) 

THOMAS, MICHAEL 95-8 CFTC 01/08/98 4c(b) 

4o(1)(A) 4o(1)(B) 

33.10 166.3 

THOMAS, MICHAEL 99-7 CFTC 07/29/99 4k(1) 3.12(a) 

166.3 

THOMAS, RIAN A. 85-10 CFTC 01/18/85 4a 

347
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

THOMAS, RIAN A. 85-6066 SD FL 01/30/85 4(a) PERMANENT INJUNCTI

THOMAS, TODD ALAN 98-13 CFTC 11/03/99 4c(b) 33.10 

THOMPSON, DOUGLAS E. 80-15 CFTC 08/07/81 4b 

4o 

THOMPSON, GARY WAYNE 84-0621-R MD TX 11/12/85 4d(1) 

4d(2) 4k 4(a) 4b(A) 4b(D) 4o(1) 4n(3) 

1.20 1.31 4.32 4.31 

PERMANENT INJUNCTI

THOMPSON, GEOFFREY S. 00 C 7344 ND IL 3/27/02 4b(a)(i) 

4b(a)(iii) 

166.2 PERMANENT INJUNCTI

THOMPSON, HOWARD E. 00-19 CFTC 5/31/00 4a(e) 

4i 6(c) 

18.04(a)(5) 18.04(d) 

COMMISSION ORDER 

THOMPSON, RICHARD B. 82-25 CFTC 04/20/83 4b(A) 

4d(1) 4g(1) 4o 

1.33(a) 1.46(a) 3.10 4.21 4.22 

THOMPSON, RICHARD B. 82-879 D MA 04/25/83 4b(A) 

4d(1) 4g(1) 4o(1) 

1.17 1.33(a) 1.46(a) 4.21 4.22 

PERMANENT INJUNCTI

THOMPSON, WILLIAM F. JR. 78-907 D NJ 07/20/80 4c(b) 32.5 

32.9 

PERMANENT INJUNCTI

THOMPSON, WILLIAM H. 79-0609-H ND TX 03/30/80 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

THOMSON MCKINNON 85-24 CFTC 06/25/87 4m 

348
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

FUTURES INC. THOMSON MCKINNON SECURITIES, INC. 

83-6 CFTC 11/17/82 4g(1) 

6(b) 

17.00 17.01 17.02 166.3 

THORKELSSON, VALDIMAR d/b/a R.S. OF HOUSTON WORKSHOP 

00-10 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1)(A) 4o(1)(B) 

4.41(a) COMMISSION ORDER 

THORNTON, BRIAN 02-09 CFTC 5/22/03 4b(a)(i) 

4b(a)(iii) 4b(a)(iv) 4c(a)(1) 4g 

1.38 1.35(d) 

COMMISSION ORDER 

THREE EIGHT CORPORATION 88-33 CFTC 05/24/89 4c(a)(A) 

THREE G TRADING CORPORATION 

80-28 CFTC 01/25/91 4d 

4c(a)(A) 4c(a)(B) 

1.38 

THREE G TRADING CORPORATION 

80-29 CFTC 09/30/87 4c(a) 

4b 

1.38 

THREE G TRADING CORPORATION 

80-31 CFTC 01/25/91 4c(a)(B) 

4c(a)(A) 

1.38(a) 

THREE G TRADING CORPORATION 

80-32 CFTC 08/22/86 4c(a) 

4b(D) 

1.38 

THREE MCSTOCK FARMS, LTD. 84-18 CFTC 07/09/84 4i 18.04 

15.01(c) 

TICHY, RICHARD 99-6560-CIV SD FL. 10/29/99 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 

3.12(a) 4.21 4.22 4.24 

PERMANENT INJUNCTI

349
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4n(4) 4o(1) 

4.25 4.26 

TIERNEY, DONALD D. 81-6 CFTC 09/22/81 

TILLMAN, RICHARD 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

TIMBER HILL, INC. 88-11 CFTC 02/11/88 4i 17.00 

TIMBER HILL, INC. 90-22 CFTC 06/30/92 4i 

6(b) 

17.00 17.02 

TIME TRADERS, INC. 01-163-P-H D MA 7/23/02 SUPPLEMENTAL ORDE

TIMPSON, JAMES 86-1342TCM SD CA 05/27/88 PERMANENT INJUNCTITIPTON, CARL M. 81-2250-W WD TN 01/22/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

TIPTON, CARL M. JR. 77-17 CFTC 09/22/78 TITLIS INTERNATIONAL INC. 95-5416 SD NY 02/19/98 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

TMI COMMODITIES, INC. 80-22 CFTC 10/21/83 4b 

4b(A) 4d(2) 4f(2) 4g(1) 

1.17(a) 1.37 1.20(a) 1.21 1.22 

350
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TOBIN, JOHN M. 89C8576 ND IL 08/28/95 4m 

4o(1) 4d(2) 4d(1) 4b(a)(i) 4b(a)(ii) 4n(3)(A) 

1.20(a) 4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

TOBLER, BRIAN 2:98CV00216J C.D. UT 4/7/00 4b(a)(i) 

4b(a)(ii) 4o(1) 4m(1) 

4.20(b) 4.20(c) 4.24(a) 4.21(a) 

PERMANENT INJUNCTI

TOCZYLOWSKI, MARIA 04-20 CFTC 7/13/2004 4b(a)(2)(i) & 

(iii) 4o(1) 4d 4g 

1.20 1.22 1.33 1.35 1.37 32.6 166.2 

COMMISSION ORDER 

TODD, WILLIAM ANTHONY 81-2250-W WD TN 02/13/84 4o(1) 

4 4b(A) 4b(C) 

 PERMANENT INJUNCTI

TODHUNTER, JONATHAN 88-05540JGD CD CA 05/01/89 4(a) 

4b(A) 

PERMANENT INJUNCTI

TOLAR, MICHAEL J. 88-7 CFTC 04/10/92 4g 1.35(d) 

TOMLINSON, GEORGE M. 89-5 CFTC 10/19/90 

TOMPIS, DEAN T. 85-46 CFTC 02/21/86 4c(a)(B) 1.38(a) TOOMEY, PAUL 89-916-JLI CD CA 02/07/92 4(a) 

4b(A) 

PERMANENT INJUNCTI

351
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TOPWORTH INTERNATIONAL 94-1256 CD CA 11/02/95 4(a) PERMANENT INJUNCTI

TORRE, JOSEPH 03 CV 9125 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

TORRES, RAFAEL D. 78-13 CFTC 04/25/78 6(c) 

TORRI, JOHN 84-243PHX D AZ 06/27/86 19 31.1 

31.2 31.3 

PERMANENT INJUNCTI

TORTOLA CORPORATION CO., LTD. 

99-6560-CIV S.D. FL. 10/29/99 4b(a)(i) 

4b(a)(ii) 4k(2) 4m(1) 4n(4) 4o(1) 

3.12(a) 4.21 4.22 4.24 4.25 4.26 

PERMANENT INJUNCTI

TOTAL TRADING SERVICES LIMITED 

03 CV 7112 SD NY 8/24/2004 PERMANENT INJUNCTIO

TOUPS, FRANCES LITTLE 78-0161 WD LA 02/13/78 4c(b) 

4f(1) 4f(2) 4g 

1.18 1.31 32.7 32.9 1.17(b) 

PERMANENT INJUNCTI

TOUPS, ROLAND P. 78-0161 WD LA 02/13/78 4c(b) 

4f(1) 4f(2) 

1.18 1.31 32.7 

PERMANENT INJUNCTI

352
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4g 32.9 

1.17(b) 

TRADERS INTERNATIONAL INC. 82-6850NCR SD FL 08/06/84 4d(2) 

4f(2) 4g(1) 

1.17(a) 1.20(a) 1.25 1.26 1.28 1.31 1.32 

PERMANENT INJUNCTI

TRADEWINDS INTERNATIONAL, LLC 

04C 5723 ND IL 9/1/2004 EX PARTE STATUTORY 

RESTRAINING ORDER 

TRADEWINS PUBLISHING CORP. 

02-10 CFTC 4/4/02 4o(1)(A) 

4o(1)(B) 

4.41(a) 4.41(b)(1)(i) 

COMMISSION ORDER 

TRADEWINS PUBLISHING, CORP. 

CV 04 3081 ED NY 7/21/2004 COMPLAINT FILED 

TRADING RESOURCES, INC. 92-24 CFTC 02/17/93 4b(D) 

4b(A) 4c(a)(A) 4c(a)(B) 4c(b) 4g(1) 4i 6(b) 

1.35(a-1) 166.2 33.10 155.3(b)(2) 1.38(a) 1.31 1.35(a) 18.01(a) 18.04 17.01(b)(8) 18.00 17.00 

TRANS WORLD METALS CORPORATION 

87-2591HAA D NJ 11/14/91 4(a) 

4b(A) 

PERMANENT INJUNCTI

TRANSCONTINENTAL PETROLEUM CORP. 

80-0689 SD NY 07/19/80 4b PERMANENT INJUNCTI

TRAYLOR, GIL 85-7871-KN CD CA 12/05/88 

12/14/88 12/05/89 

4(a) 4b(A) 4b(C) 

PERMANENT INJUNCTI

353
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TREAT, EDWIN FRANCIS 78-17 CFTC 12/07/78 6(b) 

TRENCH, CHARLES W. 99-S-1874 D COL 5/1/03 ORDER 

TRENDING CYCLES FOR COMMODITIES, INC. 

80-315 SD FL 03/17/80 

10/07/81 

PRELIMINARY INJUNCTION 

TRENDSYSTEMS, INC. 1:00-CV-0184-4 MD GA. 11/20/00 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4o(1)(A) 4o(1)(B) 

33.10 4.30 

PRELIMINARY INJUNCTION 

TRENDY SYSTEMS, LLC 00-15 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

TRILLION JAPAN CO., LTD. 90-1 CFTC 05/23/94 

TRI-METRO MANAGEMENT, INC. 

79-0609-H ND TX 03/03/80 4c(b) 

4c(c) 

32.11 32.3(b)(1) 

PERMANENT INJUNCTI

TRINITY FINANCIAL GROUP, INC. 

92-6832 SD FL 06/23/93 4b(a) 

4c(b) 4f 6(c) 8a(1) 

33.7(f) 33.10 166.3 3.31 3.10 

PERMANENT INJUNCTI

TRINITY METALS EXCHANGE OF KANSAS CITY INC. 

85-1482-W3 WD MO 5/16/86 4(a) PERMANENT INJUNCTI

TRITSCH, GARY A. 79-58 CFTC 04/04/80 

TRIVETTE, DONALD 5:99-CV-54-V WD NC 06/14/99 4b(a)(i) 

4b(a)(ii) 4b(A)(iii) 

33.10 4.20 

PRELIMINARY INJUNCTION 

354
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(b) 4o(1)(A) 4o(1)(B) 

TROPIANO, MICHAEL 96-CV-228 01/09/97 4b(a) 

4m 4o 9(a) 

PERMANENT INJUNCTI

TROUBADOUR, INC. CV99-00653 D. HAW 2/21/01 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4c(b) 4m(1) 4o(1) 

4.20(c) 4.41(a) 4.41(b)(i) 4.41(b)(ii) 33.10(a) 33.10(c) 

PERMANENT INJUNCTI

TROYER, THOMAS L. 82-1931 ND OH 07/22/83 4b 

4m 4n(1) 4n(3)(B) 4o(1) 

4.20 4.21 4.22 

PERMANENT INJUNCTI

TRUEBA, CARLOS T. 78-15 CFTC 05/04/79 4k(2) 

TSANTES, HAROLD A. 88-1 CFTC 04/26/88 4c(b) 

4g 

1.35(a-1) 1.35(b)(3) 33.7(d) 33.7(e) 33.10 166.3 

TSAO, DAVID 92-1676 CD CA 12/19/94 4m 4.21(a) PERMANENT INJUNCTI

355
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TSO, KUN-CHEONG 92-259 ED NY 12/09/92 4a 

4b(A) 4d(1) 

3.10 RESTRAINING ORDER 

TSUI, ALLEN 98-10 CFTC 03/10/99 4b(a)(i) 1.55(a)(1) 

TUCK, RICHARD G. 83-14 CFTC 11/25/83 4e TUKEY, THOMAS B. 80-15 CFTC 10/15/80 4b 

4o 4k 4f(1) 

1.10(d) 1.14(a) 1.14(d) 

TULIG, DANIEL F. 89-11 CFTC 05/30/91 4(a) 

4(b)(A) 4(b)(B) 4(b)(C) 4(b)(D) 4c(a)(A) 4g(1) 4h(2) 4(h) 

1.35(a-1) 1.38 166.3 

TUNG, HUAYA LU 01-01 CFTC 11/22/02 1.12(b) 

1.12(g) 166.3 

ALJ ORDER 

TUNG, HUAYA LU 03-14 CFTC 6/23/03 4g 1.31 

1.35 

 COMPLAINT FILED 

TURKISH, NORMAN 80-31 CFTC 01/25/91 4g 

4c(a)(B) 4b(D) 4c(a)(A) 

1.37 1.38(a) 1.35 

TURKISH, NORMAN 80-5 CFTC 08/19/82 4c(a) 

9(b) 

TURMAN, DANIEL CLAY 84-15 CFTC 07/31/84 4c(a)(A) 

4c(a)(B) 

1.38 

TURNER, RICHARD 79-3371 SD NY 10/22/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

TURNER, RICHARD M. 77-5 CFTC 02/10/78 4c(b) 

4o(1) 4o(2) 

32.9 

356
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

TYLER, DEAN H. 90-31 CFTC 01/16/92 4b(A) 

4b(D) 4c(a)(A) 4c(a)(B) 4g(1) 

1.31(a) 1.35(a-1) 1.38 

TYSON FOODS, INC. 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

TYSON, DONALD 75-13 CFTC 08/16/77 6(b) 

6(c) 9(b) 

U. S. A. COMMODITY FUTURES, INC. 

85-8365IH CD CA 01/13/86 4d(2) 

4f(2) 4g(1) 

1.20(a) 1.17(a) 1.18(a) 1.23 1.31 1.32 1.35(a) 

PERMANENT INJUNCTI

U.S. GRAIN CORPORATION 78-2102A ND GA 12/18/78 4d(2) 

4f(2) 4g(2) 

1.17(a) 1.18(b) 1.18(c) 1.20(a) 1.23 1.32 

PERMANENT INJUNCTI

U.S. INVESTMENT CO., LTD. 81-1070-MC D MA 06/05/81 4d(1) 

4b(A) 4b(B) 4o(1) 

PERMANENT INJUNCTI

U.S. SECURITIES & FUTURES CORP. 

03 CV 2258 SD NY 4/2/03 TEMPORARY STATUTO

RESTRAINING ORDER 

U.S. SECURITIES & FUTURES CORP. 

01-01 CFTC 7/25/03 4b(a)(i) & 

(iii) 

1.12(b) & (g) 166.3 

ALJ INITIAL DECISION 

357
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

UNI-FINEX, INC. 95-2668 D NJ 06/02/95 4(a) 

4b(a)(i) 4d(1) 

 COMPLAINT FILED 

UNITED AMERICAN COAL COMPANY 

81-2250-W WD TN 01/22/87 4 

4b(A) 4b(C) 4o(1) 

 PERMANENT INJUNCTI

UNITED CURRENCIES CORP. 76-7814 SD NY 12/23/98 4(a) 

4b(a)(i) 4d(1) 9(a)(1) 

PERMANENT INJUNCTI

UNITED ENERGY, INC. 04-18 CFTC 7/6/2004 4g 1.35(a-1)(2)(i) 

166.3 

COMMISSION ORDER 

UNITED EQUITIES (COMMODITIES) CO. 

86-12 CFTC 02/24/86 

UNITED FACTORING, LLC 04 CV 02768 SD NY 7/21/2004 ORDER 

UNITED KINGDOM COMMODITY OPTIONS, LTD. 

78-1604CSH SD NY 12/07/78 6(b) 

4f 4g 

1.10 PERMANENT INJUNCTI

UNITED METALS TRADING CORP. 

96-2185 D AZ 01/22/98 4b(a)(i) 

4d(1) 4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 4d(2) 

4.20(a) 4.20(b) 4.20(C) 4.21 

PERMANENT INJUNCTI

UNITED PETROLEUM EXCHANGE CORP. 

80-0689 SD NY 06/24/82 4 

4h 

PERMANENT INJUNCTI

UNITED STATES METAL 79-1201 SD NY 04/05/79 32.9 PERMANENT INJUNCTI

358
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

DEPOSITORY CORP. 32.11 

32.5 32.3 

UNIVERSAL FINANCIAL HOLDING CORPORATION 

CV04-6463 CD CAL 8/25/2004 PRELIMINARY 

INJUNCTION 

UNIVERSAL FINANCIAL HOLDING CORPORATION 

04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

UNIVERSAL FX, INC. 04-21346 SD FL 6/7/2004 COMPLAINT FILED 

UNIVERSAL PRECIOUS METALS, INC. 

82-6108 SD FL 01/07/83 4 

4h 4n(3)(A) 

4.32 PERMANENT INJUNCTI

URBAN, GABOR 97-6800 CD CAL 05/04/98 4b(a)(i) 

4b(a)(ii) 4m 4o(1) 

4.20(a) 4.20(b) 4.20(c) 4.21(a) 4.21(b) 

PERMANENBT INJUNCTION 

URBANI, PETER J. H-96-1213 SD TX 05/28/99 URBANO, ALFRED R. 78-907 D NJ 07/20/80 4c(b) 32.5 

32.9 

PERMANENT INJUNCTI

UR-LINK 04-07 CFTC 5/13/2004 ALJ ORDER VALENTIN, JUAN 1 03 CV-2633 ND GA 9/3/03 4c(b) 

4b(a)(2)(i) & (iii) 

33.10(a) & (c) COMPLAINT FILED 

VALENTINE, DAVID 82-2062 SD FL 01/16/84 4o(1) PERMANENT INJUNCTI

VALENTINE, DAVID 84-23 CFTC 02/24/84 4b 

4o(1) 

VALK, VINCENT 85-23 CFTC 09/12/88 4b(A) 4.31(a) 

359
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(b) 4o 

4.31(b) 4.31(f) 4.41(a) 4.41(b) 33.3(a) 33.10(a) 33.10(c) 

VALKO, ERIN 01-7402 SD FL 1/20/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTI

VALLETTA, GARY V. 98-6564 SD FL 11/3/00 4k(1) 

4k(5) 4f(a) 

3.10(A)(2)(i) PERMANENT INJUNCTI

VAN DEN BROEKE, EDDY 79-36 CFTC 04/04/83 4a(2)(B) 

6(b) 

18.01 19.00 19.04 19.10 

VAN OVERMEER, ROBERT J. 80-12 CFTC 10/22/80 6(b) 

4k 

VAN OVERMEER, ROBERT J. 84-1463 SD CA 09/03/85 4m 

19 

31.1 31.24 

PERMANENT INJUNCTI

VAN PATTEN, DONALD R. SD 04-02 CFTC 3/25/2004 8a(3)(J) & 

(M) 

COMMISSION ORDER 

VANDERLINDE, FRED R. 88-18 CFTC 06/07/88 4k(1) 166.3 VANDEVELD, GORDON J. 04-2181 WD TN 9/13/2004 COMPLAINT FILED 

VANGUARD FINANCIAL MANAGEMENT ASSOCIATION a/k/a VANGUARD FINANCIAL MANAGEMENT FOUNDATION 

SACV 04-575 CD CAL 5/19/2004 COMPLAINT FILED 

VARNER, MICHAEL SD 02-02 CFTC 5/9/02 NOTICE OF EFFECTIVE 

DATE 

VARNER, MICHAEL H. SD-99-1 CFTC 06/04/99 8a(3)(M) 

VARNER, MICHAEL H. 01-08 CFTC 6/30/03 6(c) COMMISSION ORDER 

360
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

VARNER, STANLEY E. 2:02 CV 1373 D UT 7/5/2004 4b(a)(2)(i)­

(iii); 4o(1) 

4.30 PERMANENT INJUNCTI

VARTULI, ANTHONY 97-CIV-3119 SD NY 10/13/98 1a(5) 

4k(3) 4o(1)(A) 4o(1)(B) 4b(A)(i) 

1.33(a)(4) 4.41 

VAUGHN, MARK 02-06 CFTC 2/25/02 166.3 COMMISSION ORDER 

VAZQUEZ, MITCHELL 02-07 CFTC 2/27/02 4(a) 

4c(b) 

32.11 33.3 

COMMISSION ORDER 

VELAZQUEZ, EDWARD R. 04C 5853 ND IL 9/10/2004 STATUTORY 

RESTRAINING ORDER 

VELISSARIS, GEORGE W. 00-02 CFTC 12/16/99 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 

4.20(c) COMMISSION ORDER 

361
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

VENDITTELLI, CHARLES 80-29 CFTC 09/30/87 4c(a) 

4b 

1.38 

VENDITTELLI, CHARLES 80-32 CFTC 08/22/86 4c(a) 

4b(D) 

1.38 

VENIT, MARTIN L. SD-95-12 CFTC 03/08/95 

VERCILLO, JOHN A. 91-8 CFTC 06/08/98 

VERCILLO, JOHN A. SD-93-11 CFTC 06/25/97 VERILLI ALTSCHULER SCHWARTZ, INC. 

85-20 CFTC 05/30/86 4b(A) 

4f(2) 4g 4n(3)(A) 4o(1) 

1.17 1.18 4.22(c) 

VERNIER, DARCY 86-36 CFTC 01/19/89 4b(A) 30.02 

1.56(c) 

VERO BEACH FUNDING CORPORATION 

84-6401NCR SD FL 05/21/84 4(a) PERMANENT INJUNCTI

VERTRIX, INC. 98CIV7505 ND IL 05/27/99 4b(a)(i) 

4b(a)(ii) 4o(1) 

4.20(a) 4.20(b) 4.20(c) 4.30 4.31(a) 

PERMANENT INJUNCTI

VESELY, ERIC G. 76-21 CFTC 01/11/79 4b 

4m 4o 

362
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

VICTCO FINANCIAL SERVICES, INC. 

CV 03-0833 CD CAL 2/5/03 STATUTORY 

RESTRAINING ORDER 

VIELE, RICHARD 00-27 CFTC 9/23/02 COMMISSION ORDER 

VIGNOLA, ANGELO PAUL SD-98-2 CFTC COMPLAINT FILED 

VINCI, JOHN 80-0689 SD NY 07/15/81 4 

4b 

PERMANENT INJUNCTI

VINOTRON SYSTEMS, INC. 82-449E ND OK 11/04/83 4m 

4o(1) 

4.13(b) 4.41(a) 4.41(b) 

PERMANENT INJUNCTI

VIOLA, VINCENT 81-20 CFTC 01/20/82 VIRGIL, JERRY N. 83-38 CFTC 3/4/84 

VIRGINIA TRADING CORPORATION 

83-56 CFTC 08/14/84 4g(1) 

4i 6(b) 

17.00(a) 17/02 166.3 

VISION CAPITAL CORPORATION 

2:04CV00804 BSJ D UT 9/1/2004 COMPLAINT FILED 

VISIONEERING RESEARCH & DEVELOPMENT CO. 

97-11 CFTC 07/30/97 4.34(n)(1) 

4.34(n)(3)iii 4.35(a)(1)ii 4.35(a)(1)iii 4.35(a)(3)I 4.35(a)(6) 4.35(a)(7)(i) 4.36(c)(1) 4.36(d)(2) 4.35(a)(1)ivA 4.35(a)(1)ivB 

VITEBSKY, MICHAEL 03 4999 ED NY 11/24/03 4b(a)(2) 

4(a) 

1.1(b) PERMANENT INJUNCTI

VOIGT, DONALD J. 87-4 CFTC 12/07/87 166.3 

VOLF, LAWRENCE JOSEPH 4:04CV3184 D NE 5/4/2004 4b(a)(2)(i) & 

(iii) 4o 4c(b) 

33.10 166.2 

PRELIMINARY INJUNCTION 

VOLUME INVESTORS CORP. 85-2213KTD SD NY 02/01/91 PERMANENT INJUNCTI

VOLUME INVESTORS CORPORATION 

85-25 CFTC 06/11/86 4b 

4d(2) 4f(2) 

1.17(a) 1.20(a) 1.20(c) 

363
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.22 166.3 

VON BRAUN, HERMAN A. 78-30 CFTC 06/22/78 6(b) 

VON HOFMANN, KURT 77-3928 CD CA 10/31/77 4d(2) 

4f(2) 

1.17 1.20(a) 

PERMANENT INJUNCTI

VON HOFMANN, KURT 80-2 CFTC 03/03/83 4f(2) 

4g(1) 4d(2) 

1.17(b)(1) 1.10(f) 1.20(a) 

VORACHITH, BANGONE CV 03 603 D OR 8/25/2004 4b(a) 

4(a) 

1.1(b) PERMANENT INJUNCTI

V-TEK CAPITAL, INC. 04C 5853 ND IL 9/10/2004 STATUTORY 

RESTRAINING ORDER 

V-TEK FX FUND 04C 5853 ND IL 9/10/2004 STATUTORY 

RESTRAINING ORDER 

V-TEK TRADING GROUP, INC. 04C 5853 ND IL 9/10/2004 STATUTORY 

RESTRAINING ORDER 

WADE, JOHN 94-13 CFTC 7/15/2004 4c(a)(1) 1.38(a) COMMISSION ORDER WAGGONER, RICHARD T. 79-03851 CD CA 09/16/82 4c(c) 

4c(b) 

PERMANENT INJUNCTI

WAGNER, MARTHA A. 90-28 CFTC 04/30/91 4f(2) 

6(b) 

1.10(d) 1.17(a)(1) 1.17(a)(4) 1.18(a) 

WAI, ANDREW TAI a/k/a ANDREW HONGCHOW WAI 

01-06926 CD CAL 7/1/03 4b(a)(i)-(iii) 

4(a) 

PERMANENT INJUNCTI

364
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WAKEFIELD, STANLEY CRAIG 6:03-CV-119 MD FL 1/29/03 STATUTORY 

RESTRAINING ORDER 

WALKER, HAMPTON J. 84-46 CFTC 01/21/86 4i 15.01(c) 

18.04 

WALL STREET PRECIOUS METALS INC. 

799-3382 SD NY 12/05/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

WALL STREET UNDERGROUND, INC. 

03-2193 D KS 4/22/03 4o(1)(A) & 

(B) 

4.41(a) STATUTORY 

RESTRAINING ORDER 

WALSH, WILLIAM AUSTIN 90-5 CFTC 01/20/90 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

WALSHAK, PETER MATTHEW 83-33 CFTC 07/01/83 4e WALTER, EUGENE MORRIS 3-96-CV2734 06/26/97 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4c(b) 4d(1) 4d(2) 4m(1) 

33.10 4.30 1.33 1.55 33(b)(1) 33.7 

PERMANENT INJUNCTI

WALTER, SCOTT, LEV & ASSOCIATES, LLC 

03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

WALTERS, MAX E. 99-15 CFTC 2/9/01 ALJ ORDER WALTUCH, NORTON 85-12 CFTC 07/10/90 6(b) 

6(c) 9(b) 13(a) 

WANG, SHERRY 93-0088 ED NY 12/06/94 4(a) 

4b(A) 4d(1) 

3.10 PERMANENT INJUNCTI

365
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WASSERMAN, MOGENS M. 89-24 CFTC 03/25/94 4b(A) 

4c(b) 4o(1) 

32.9 

WATERS TAN AND COMPANY, INC. 

88-1571 D AZ 09/28/88 4b(A) 

4b(B) 4b(C) 9(a) 4o(1) 4m(1) 

4.21 3.22(a) 4.22(c) 4.22(d) 4.22(e) 4.23 4.20(b) 4.20(c) 

PERMANENT INJUNCTI

WATERS TAN AND COMPANY, INC. 

88-31 CFTC 09/28/88 4b(A) 

4b(B) 4b(C) 4m(1) 4o(1) 9(a) 

4.20(b) 4.20(c) 4.21 4.22 4.23 

WATERS, JOHN P. 88-1571 D AZ 09/28/88 4b(A) 

4b(B) 4b(C) 9(a) 4o(1) 4m(1) 

4.21 3.22(a) 4.22(c) 4.22(d) 4.22(e) 4.23 4.20(b) 4.20(c) 

PERMANENT INJUNCTI

WATERS, JOHN P. 88-31 CFTC 09/28/88 4b(A) 

4b(B) 4b(C) 4m(1) 4o(1) 9(a) 

4.20(b) 4.20(c) 4.21 4.22 4.23 

WATSON, CAROLYN JONES 85-6936 SD FL 01/24/86 4c(c) 33.9(c) 

33.9(e) 

PERMANENT INJUNCTI

WAYNE COUNTY PRODUCE, INC. 

77-15 CFTC 01/10/84 4a 

6(b) 6(c) 9(b) 

150.10 

WD ENERGY SERVICES INC. f/n/a ENCANA ENERGY SERVICES, INC. 

03-20 CFTC 7/28/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

366
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WEATHERFORD, JAMES d/b/a MANAGED-MINI.COM 

CV04-4079 CD CAL 6/8/2004 COMPLAINT FILED 

WEAVER, JEFFREY W. 82-C-5955 ND IL 02/10/83 4m PERMANENT INJUNCTI

WEAVER, WARD A. 82-C-5955 ND IL 02/10/83 4m PERMANENT INJUNCTI

WEB FULFILLMENT CENTRE, INC. 

03-2193 D KS 4/22/03 4o(1)(A) & 

(B) 

4.41(a) STATUTORY 

RESTRAINING ORDER 

WEBER, CHRISTIAN SACV02-173 CD CAL 6/3/03 4b(a)(i) & 

(iii) 4(a) 

1.1(b)(1) & (3) PERMANENT INJUNCTI

WEBMAN, LARRY M. 78-1692 SD FL 01/21/82 4c(b) 32.9 PERMANENT INJUNCTI

WEBMAN, LARRY M. 79-3558 SD FL 03/01/82 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

WEBMAN, LARRY M. 82-17 CFTC 03/25/82 4c(b) 

4c(c) 

32.9 32.11 

WEBMAN, MELVIN 79-1436 ND IL 12/07/81 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

WEBMAN, MELVIN H. 79-3558 SD FL 03/01/82 4c(b) 

4c(c) 

32.11 32.9 

PERMANENT INJUNCTI

WEBMAN, MELVIN H. 82-17 CFTC 03/25/82 4c(b) 

4c(c) 

32.9 32.11 

WEBSTER, JOHN J. 78-19 CFTC 08/12/82 4b 

4c(b) 4d 4m 

1.7 32.3 32.5 32.9 

WEBSTER, JOHN J. 78-4195EW SD NY 10/05/78 4d(2) 

4b 4f(2) 4k(1) 

1.17 1.20 

PRELIMINARY INJUNCTION 

367
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WEDEEN, DAVID 00-08880 CIVZLOCH S.D. FL. 12/4/00 TERMPORARY RESTRAINING ORDER WEINBERG, MARK 02-02084 CD CAL 6/17/03 4b(a)(i) & 

(iii) 4o(1)(A) & (B) 6(c) 

PERMANENT INJUNCTI

WEINBERG, MARK ROSS 89-24 CFTC 01/05/94 4b(A) 

4c(b) 4o(1) 9(a) 4(d)(1) 

32.9 4.30 

WEINBERG, MICHAEL 88-4 CFTC 07/26/88 4f(2) 

6(b) 

1.10(b)(2) 1.10(d) 1.17 

WEINER, LESLIE 04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

WEINGARTEN, LUDWIG 93-5 CFTC 08/18/93 4c(a)(A) 

4c(a)(B) 

1.38(a) 

WEINSTEIN, JACK 80-0689 SD NY 10/02/81 4 

4h 

PERMANENT INJUNCTI

WEISBENBORN, WALLACE G. 85-46 CFTC 02/21/86 4g 

4i 

1.37(a) 17.00 18..04 18.04(a) 18.04(b) 

WEISENBERGER, ARTHUR J. 85-1555 ND CA 11/25/87 PERMANENT INJUNCTI

WEISER, MICHAEL 90-4 CFTC 02/13/90 4b(A) 

4b(B) 4c(a)(A) 

1.38(a) 

WEISS, DANIEL 85-3565 SD FL 10/21/88 4(a) 

4b(A) 

PERMANENT INJUNCTI

368
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WEISS, JAMES I. 04 CV 45 (FSH) D NJ 3/1/2004 4b(a)(i) & 

(iii) 

1.1(b)(1) & (3) PRELIMINARY 

INJUNCTION 

WEITMAN, EDWARD P. 77-3864 CD CA 06/12/79 4c(b) 

4i 4g 4o 

1.35(a) 32.7 32.9 32.5 1.31 

PERMANENT INJUNCTI

WEITMAN, EDWARD P. 79-7 CFTC 04/22/83 4c(b) 

6(b) 4g 4g(1) 4f(1) 4f(2) 4d 

32.9 32.5 1.31(a) 1.35 32.7 1.17(b) 1.20 32.6 1.23 1.18 1.10(f) 1.32 

WEITMAN, EDWARD P. 84-8601 ND IL 10/19/84 4b(A) 

4b(C) 

PRELIMINARY 

INJUNCTION 

WEITMAN, MARY FITZPATRICK 79-7 CFTC 04/22/83 4c(b) 

6(b) 4g 4g(1) 4f(1) 4f(2) 4d 

32.9 32.5 1.31(a) 1.35 32.7 1.17(b) 1.20 32.6 1.23 1.18 1.10(f) 1.32 

WELDON, ANTHONY H.D. 89-11 CFTC 09/23/91 4d(1) 

4k(1) 

3.10(a) 1.38 

369
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4f(1) 4(a) 4h(2) 4c(a)(A) 4g(1) 4d(2) 

1.35(a-1) 1.20 17.00 166.3 1.31 

WELLINGTON FINANCIAL GROUP, INC. 

99-10 CFTC 11/3/99 4c(b) 33.10 COMMISSION ORDER 

WELLINGTON INERNATIONAL, INC. 

85-3565 SD FL 10/21/88 4(a) 

4b(A) 

PERMANENT INJUNCTI

WELLINGTON PRECIOUS METALS, INC. 

85-3565 SD FL 10/21/88 4(a) 

4b(A) 

PERMANENT INJUNCTI

WELLS FARGO BANK, N.A. 87-07792WDK CD CA 11/19/87 4c(b) 32.11 PERMANENT INJUNCTI

WELSH, NOEL L. 88-C-3188 ND OK 06/14/89 4o(1) 

4k(2) 

PERMANENT INJUNCTI

WENBROOK CORPORATION 79-0609-H ND TX 03/23/81 4c(b) 

4c(c) 

32.3 32.9 32.11 

PERMANENT INJUNCTI

WEST COAST POWER, LLC 03-03 CFTC 12/18/02 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

370
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WEST SIDE FEDERAL SAVINGS AND LOAN ASSOC. 

78-1604CSH SD NY 11/02/81 4c(b) 32.6(a) 

32.6(b) 32.9 

PERMANENT INJUNCTI

WESTAMERICA CURRENCY, INC. 

79-03851 CD CA 05/09/84 4c(c) 

4c(b) 

32.9 PERMANENT INJUNCTI

WESTBROOK, LEONA 2:02-CV-94 MD FL 12/16/03 SUPPLEMENTAL 

CONSENT ORDER 

WESTBROOKE FUNDING, INC. 85-3169 SD FL 10/25/85 4(a) PERMANENT INJUNCTI

WESTERN AMERICA FINANCE 8-05540JGD CD CA 05/01/89 4(a) 

4b(A) 

PERMANENT INJUNCTI

WESTERN AMERICAN OIL CO. 80-0689 SD NY 10/20/80 4 

4b 

PERMANENT INJUNCTI

WESTERN FINANCIAL MANAGEMENT 

81-18 CFTC 09/17/82 4b 

4o(1) 4k(1) 4m 4n 6(b) 

1.10c 1.10d 4.21 

WESTERN GAS RESOURCES, INC. 

04-17 CFTC 7/1/2004 9(a)(2) COMMISSION ORDER 

WESTERN MANAGEMENT CORPORATION 

84-48 CFTC 1/2/85 4m 

4o 

4.21 4.22 4.23 

WESTERN NATIONAL TRADING 96-2185 D AZ 01/22/98 4b(a)(i) 

4b(a)(ii) 4b(a)(iii) 4o(1) 4m(1) 4d(1) 4d(2) 

4.20(a) 4.20(b) 4.20(c) 4.21 

PERMANENT INJUNCTI

371
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WESTFIELD CLEARING, LTD. 78-55 CFTC 05/25/79 WESTFIELD CLEARING, LTD. 79-295 D CT 06/15/81 4c(b) 

4c(c) 4f 

32.11 32.9 32.6 32.3 1.17 

PERMANENT INJUNCTI

WESTFIELD CLEARING, LTD. 81-16 CFTC 05/05/81 4c(b) 

4c(c) 4f 

32.11 1.17 

WESTHEIMER, GERALD 85-25 CFTC 02/10/92 4a(5) 

4g 

1.35 

WESTHEIMER, VALERIE 85-25 CFTC 02/10/92 4a(5) 

WEXLER, FREDERICK N. SD-89-5 CFTC 06/08/99 WHALEY, STEVEN MICHAEL 90-00038 ND IN 08/17/90 4b(A) 

4b(B) 4k(3) 4d(2) 4d(1) 

PERMANENT INJUNCTI

WHALEY, TEDDI JEAN 90-00038 ND IN 08/17/90 4o(1) 

4k(3) 

PERMANENT INJUNCTI

WHARTON, MICHAEL JOSEPH 94-4 CFTC 11/02/93 4a(E) 

4g(a) 6(c) 

18.04(a) 166.2 

WHEALAN, EMMETT J. 96-4 CFTC 11/18/99 4b(a)(i) 

4b(a)(iv) 4c(a)(A) 4g(a) 

1.35(d) 1.38(a) 

COMMISSION ORDER 

WHEELER, JOHN A. 6:03CV42 ED TX 6/9/03 4b(a)(2)(i)­

(iii) 

1.1(b)(1) 1.1(b)(3) 

PERMANENT INJUNCTIO

372
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WHEELER, RICHARD F. SD-97-7 CFTC COMPLAINT FILED 

WHICHMAN, JEFFREY JAMES 98-4 CFTC 12/18/98 4(a) 

4b(a) 4o(1)(A) 4o(1)(B) 

166.4 

WHIDDEN, KYLE 87-0341R SD CA 02/05/90 4(a) 

4b(A) 

PERMANENT INJUNCTI

WHIDDEN, TED E. 2:02-CV-94-FTM MD FL 12/16/03 SUPPLEMENTAL 

CONSENT ORDER 

WHITBY, W. MICHAEL 80-2082 WD TN 04/23/82 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

WHITE CREEK TRADING COMPANY 

87-3-498 ED TN 01/17/90 4m 

4o(1) 4n(4) 

4.21 4.22 1.31 4.23 

PERMANENT INJUNCTI

WHITE, GORDON J. 00-09 CFTC 5/1/00 4b(a)(i) 

4b(a)(iii) 4o(1) 

4.41(a) 4.41(b) 

COMMISSION ORDER 

WHITE, THOMAS V. 01-01 CFTC 11/14/02 COMMISSION ORDER 

WHITE, THOMAS V. 87-1 CFTC 11/07/86 4c(a)(A) 1.38 

373
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4c(a)(B) 6(b) 6(c) 9(b) 

WHITEHALL INVESTORS INTERNATIONAL INC. 

84-8601 ND IL 05/09/86 4b(A) 

4b(C) 

PERMANENT INJUNCTI

WHITEHALL INVESTORS INTERNATIONAL, INC. 

86-24 CFTC 04/29/86 4b(A) 

4b(C) 

WHITEHOUSE, SUSAN 84-32 CFTC 12/26/84 4b 

4o(1) 

WHITLEY, WILL J. 81-2250-W WD TN 12/31/86 4b(A) 

4b(C) 4o(1) 

 PERMANENT INJUNCTI

WHYTE, WILLIAM SACV 03-1454 CD CAL 12/1/2004 4b(a) 1.17(a)(1) PERMANENT INJUNCTIWICKNERTZ, PETER MAGNUS 92-8529 SD FL 08/23/93 4b(a) 

4c(b) 

33.7(f) 33.10 

PERMANENT INJUNCTI

WICKNERTZ, PETER MAGNUS 93-23 CFTC 08/10/93 4b(a) 

4c(b) 

33.7(f) 33.10 

WIENS, JOEL 84-48 CFTC 1/2/85 4m 

4o 

4.21 4.22 4.23 

WIGTON, TERRY G. 97 C 7061 N.D IL. 9/12/00 4b(a)(i) 

4b(a)(ii) 4k(2) 4k(3) 4o(1) 

PERMANENT INJUNCTI

374
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WIKLUND, MARK B. 83-53 CFTC 03/28/84 4c(a)(A) 1.38(a) 

WILES, DEWEY V. 3-02 CV-0951G ND TX 4/11/03 4b(a)(i)-(iii) 

4o(1) 4m(1) 4k(3) 

PERMANENT INJUNCTI

WILKENS, RODNEY P. 87-13 CFTC 01/26/89 4b(D) 

4c(a)(B) 

1.38(a) 

WILLARD, ROONEY & WILLIAMS 80-0689 SD NY 09/19/80 4 

4h 4b 

PERMANENT INJUNCTI

WILLETTE, ALFRED SD-85-6 CFTC 06/07/85 

WILLEY, KEN 96-0200 A 11/05/97 4o(1)(A) 

4o(1)(B) 

PERMANENT INJUNCTI

WILLIAM, HOLBROOK & ASSOCIATES, LLC 

03 CV 9128 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

WILLIAMS COMPANIES (THE) 03-21 CFTC 7/29/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

WILLIAMS ENERGY MARKETING & TRADING 

03-21 CFTC 7/29/03 6(c) 

6(d) 9(a)(2) 

COMMISSION ORDER 

375
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WILLIAMS, DAVID EARL 94-4 CFTC 11/02/93 4a(e) 

4g(a) 6(c) 

18.04(a) 166.2 

WILLIAMS, FRED RONALD 97-4443 CAL 12/08/97 4b(a)(2) PERMANENT INJUNCTI

WILLIAMS, JOHN JERRY 78-21 CFTC 06/16/78 6(b) 

WILLIAMS, RANDALL 97 C 7061 N.D IL. 9/12/00 4b(a)(i) 

4b(a)(ii) 4m(1) 4k(3) 4o(1) 

PERMANENT INJUNCTI

WILLIS, BRIAN 97CIV5255 SD NY 01/27/98 4b(a)(i) 

4b(a)(ii) 4o 9(a)(1) 4m(1) 

PRELIMINARY 

INJUNCTION 

WILSHIRE INVESTMENT MANAGEMENT CORPORATION 

04-80862 SD FL 9/13/2004 COMPLAINT FILED 

WILSHIRE, ANDREW ALAN 04-80862 SD FL 9/13/2004 COMPLAINT FILED WILSON, DONALD W. 97-9 CFTC 3/14/01 4c(a)(A) ALJ INITIAL DECISION WILSON, JAMES N. 1:00 CV 0300 ND IN 8/24/03 4k(2) 

4o(1)(B) 

PERMANENT INJUNCTI

WILSON, WILBERT A. 80-3707 SD NY 03/10/81 4o(1) 

4n(4) 4n(3) 

4.22 4.23 4.24 4.21(b) 4.21(a) 

PERMANENT INJUNCTI

WILSON, WILBERT A. 81-10 CFTC 03/27/81 4o(1) 

4n(3)(A) 

4.21 4.22 

376
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4n(4) 4.23 

4.24 

WILT, EARL R. 79-4313 SD NY 09/26/79 4c(b) 

4c(c) 

32.11 PERMANENT INJUNCTI

WINCHESTER-HARDINOPPENHEIMER TRADING CO. 77-21 CFTC 09/08/80 4b 4c 

4d 4f 4g 4k 

1.17 1.20 1.31 1.32 1.33 1.33(a) 1.35 1.37 

WINN INDUSTRIES DIVISION OF ONTARIO LIMITED 

03 4999 ED NY 11/24/03 PRELIMINARY 

INJUNCTION 

WINN INDUSTRIES DIVISION OF ONTARIO LIMITED OR 1430214 ONTARIO, LIMITED 

03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

WINNER, MICHAEL F. 83-52 CFTC 04/12/84 4e WINOGRAD, ALVIN C. 77-1 CFTC 10/29/85 4c(a)(A) 1.38(a) 

WNUKOWSKI, LESLIE 99 C 2357 N.D. IL. 7/17/00 ORDER OF EQUITABLE 

RELIEF 

WNUKOWSKI, LESLIE JEAN SD 05-01 CFTC 12/30/2004 COMPLAINT FILED WOFSY, BARRY DAVID 76-10 CFTC 05/05/76 WOGEN RESOURCES LTD. 88-01583-R CD CA 01/09/89 4(a) 

4c(b) 

32.11 PERMANENT INJUNCTI

377
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

WOHL, MILTON S. 80-0689 SD NY 10/02/81 4 

4h 

PERMANEN TINJUNCTI

WOLCOTT & LINCOLN FUTURES, L.L.C. 

99-14 CFTC 08/09/99 4d(2) 

4g 6(c) 

1.10 1.18 1.20(a) 1.20(c) 1.31 1.32 1.33 166.3 

WOLERT, JEFFREY D. 77-5 CFTC 02/10/78 4c(b) 

4o(1) 4o(2) 

32.9 

WOLFE, WILLIAM 84-6717 SD FL 09/12/84 RESTRAINING ORDER 

WONG, FRANK C. Y. 92-259 ED NY 01/27/98 4(a) 

4b(a) 4d(1) 

3.10 PERMANENT INJUNCTI

WONG, MOSES L. 93-0088 ED NY 06/07/94 4(a) 

4b(A) 4d(1) 

PERMANEN TINJUNCTI

WONG, MOSES L.W. 93-0067 CD CA 06/18/93 4(a) PERMANENT INJUNCTI

WONG, MOSES L.W. 93-8 CFTC 05/21/93 4(a) WONG, PO FUK 95-5416 SD NY 02/19/98 4(a) 

4b(a)(i) 4b(a)(iv) 4d(1) 

PERMANENT INJUNCTI

WONG, SIMON 93-0088 ED NY 08/09/93 4(a) 3.10 PRELIMINARY 

378
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4b(A) 4d(1) 

INJUNCTION 

WONG, YUEN KWONG "ANTHONY" dba IBF CAPITAL LIMITED COMPANY 

CV 03-0833 CD CAL 2/5/03 STATUTORY 

RESTRAINING ORDER 

WOOD, GARY 6:03CV42 ED TX 6/15/2004 CONSENT ORDER 

WOODS, ROY L. 80-14 CFTC 11/02/81 8b 

WOODSTOCK INC. 87-4 CFTC 12/17/86 4b 1.35 

166.3 

WOODSTOCK, INC. 87-3 CFTC 12/17/86 4b 

6(b) 

166.2 166.3 

WOOLCOT, STEEN 88-8130 SD FL 06/17/88 4b 

4b(A) 4b(B) 4b(C) 9(a) 4d(1) 4k(1) 

PRELIMINARY 

INJUNCTION 

WOOLSLEY, THOMAS 80-2082 WD TN 01/26/81 4c(c) 

4c(b) 

32.11 PERMANENT INJUNCTI

WORD, CALVIN L. 86-6 CFTC 11/28/99 4b 166.3 WORLD BANKS CURRENCY TRADERS, INC. 

01-7402 SD FL 8/23/01 4c(b) 32.9 

32.11 33.3(a) 32.5 

COMPLAINT FILED 

WORLD BANKS FOREIGN CURRENCY TRADERS, INC. 

01-7402 SD FL 8/23/2004 DEFAULT ORDER 

WORLD TRADING GROUP 90-32 CFTC 09/22/92 4b(A) 166.3 WORLD WIDE COMMODITIES MANAGEMENT CORP. 

76-20 CFTC 09/26/76 

WORLD WIDE FUNDING, LTD., INC. 

86-0099 SD FL 01/21/86 4(a) PERMANENT INJUNCTI

WORLDWIDE COMMODITY 04cv3641 ED PA 7/30/2004 COMPLAINT FILED 

379
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

CORPORATION WORLDWIDE CURRENCIES, INC. 

96-7814 Y 12/23/98 4(a) 

4b(a)(i) 4d(1) 9(a)(1) 

PERMANENT INJUNCTI

WORLDWIDE CURRENCY SERVICES, CORP. 

03-80032 SD FL 8/5/2004 4c(b) 32.9 

32.11 33.3(a) 

PERMANENT INJUNCTI

WORLDWIDE FOREX, INC. 04-60797 SD FL 6/21/2004 STATUTORY 

RESTRAINING ORDER 

WORLDWIDE PETROLEUM 80-0689 SD NY 07/19/82 4b PERMANENT INJUNCTI

WORSHAM, MARSHALL L. 96-3 CFTC 03/16/99 4b 

4o 

4.41(a) 

WORTH FINANCIAL DATA 94-1256 CD CA 10/03/96 4(a) PERMANENT INJUNCTI

WORTH, RICHARD S. 78-27 CFTC 06/30/78 6(b) WOSNACK, WILLIAM 03-02 CFTC 12/12/02 4c(a)(A) 

4c(a)(B) 

1.38 COMMISSION ORDER 

WOZNIAK, RICHARD 76-2095R CD CA 07/16/76 4b 

4c 

PRELIMINARY 

INJUNCTION 

WOZNIAK, RICHARD 77-8 CFTC 06/23/77 4b 

4c 

WRENTMORE, DANIEL M. 90-20380 ND CA 02/04/92 4m(1) 

4n(3)(A) 

4.21 4.22 

PERMANENT INJUNCTI

WRIGHT, CHARLES W. 78-24 CFTC 12/22/78 

WRIGHT, GARY 93-24 CFTC 08/13/93 4c(a)(A) 1.38(a) 

380
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

8a(3)(E) 

WRIGHT, ROGER J. 97-2 CFTC 2/25/03 4c(b) 

4m(1) 4o(1)(A)-(B) 

4.13(b)(2) 4.31(a) 33.10 

ALJ INITIAL DECISION 

WTC INVESTMENT GROUP, INC. 88-1571 D AZ 09/28/88 4b(A) 

4b(B) 4b(C) 9(a) 4o(1) 4m(1) 

4.21 4.22(a) 4.22(c) 4.22(d) 4.22(e) 4.23 4.20(b) 4.20(c) 

PERMANENT INJUNCTI

WTC INVESTMENT GROUP, INC. 88-31 CFTC 09/29/88 4b(A) 

4b(B) 4b(C) 9(a) 4o(1) 

4.21 4.22 4.23 4.20(b) 4.20(c) 

WU, JIPING 01-01 CFTC 7/25/03 1.12(b) & (g) ALJ INITIAL DECISION WU, MICHAEL 93-0067 CD CA 05/20/94 4(a) PERMANENT INJUNCTIWU, QI 93-0088 ED NY 12/06/94 4(a) 

4b(A) 

PERMANENT INJUNCTI

WUENSCH, MARC STEPHEN 92-6832-CIV SD FL 4/21/03 ORDER WYMER, STEVEN DAVID SD-92-3 CFTC 09/30/92 8a(2)(C) 

X-CEL COMMODITIES CORP. 88-8635 SD NY 12/09/88 4d(2) 

4f(2) 

1.20(a) 1.17(a) 

PRELIMINARY INJUNCTION 

XIE, JEFF 93-0067 CD CA 05/20/94 4(a) PERMANENT INJUNCTI

XU, JASON 93-0088 ED NY 06/07/94 4(a) 

4b(A) 

PERMANENT INJUNCTI

YAMPOLSKY, MAXIM 03 CV 9126 SD NY 11/18/03 EX PARTE STATUTORY 

RESTRAINING ORDER 

381
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

YANG, JOSEPH LEE 87-17 CFTC 09/22/87 4b(A) 

4m(1) 4o(1) 

4.20(c) 

YATVIN, MICHAEL B. 91-21 CFTC 06/30/92 4c(b) 33.10 YAZDANI, NADAR 04-61235 SD FL 12/7/2004 4c(b) 33.10(a)&(c) PRELIMINARY 

INJUNCTION 

YEE, PAUL 79-26 CFTC01/20/84 4c(b) 32.5 

32.9 32.6 

YEH, FRANK 93-0067 CD CA 12/19/94 4(a) PERMANENT INJUNCTI

YEH, FRANK 95-7 CFTC 01/23/96 4(a) 

6(c) 

YERMACK, BRUCE H. 83-51 CFTC 06/15/84 4e YORKSTONE RESEARCH, INC. 82-777 ND NY 09/17/82 4b(A) 

4o(1) 

4.30 4.31 4.41 

PERMANENT INJUNCTI

YORKSTONE RESEARCH, INC. 83-34 CFTC 07/07/83 4b(A) 

4o(1) 

4.30 4.31(a) 4.31(b) 4.41 

YOST, DAVID 04-07 CFTC 12/22/03 4b(a)(2)(i)­

(iii)

 COMPLAINT FILED 

YOUNG, CLARKE D. 88-32 CFTC 09/30/88 166.3 

YOUNG, TERRY W. 85-32 CFTC 09/20/88 4d 

4n(4) 

1.7 1.20(a) 1.33(a) 4.22(h) 4.24(a) 

YU, JOE 92-259 ED NY 12/09/92 4a 

4b(A) 4d(1) 

3.10 RESTRAINING ORDER 

YU, NELSON 93-0088 ED NY 12/06/94 4(a) 

4b(A) 4d(1) 

3.10 PERMANENT INJUNCTI

YURGEL, GLENN 82-16 CFTC 03/25/82 4 32.11 

382
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

4h 4c(b) 4c(c) 4m 

166.3 

YURGEL, GLENN 82-6203 SD FL 04/15/82 4c(b) 

4c(c) 

32.11 166.3 

PERMANENT INJUNCTI

ZACK, EUGENE M. 78-115 ND IL 01/20/78 4f(2) 1.17 PERMANENT INJUNCTI

ZACK, SAMUEL N. 78-115 ND IL 01/20/78 4f(2) 1.17 PERMANENT INJUNCTI

ZACK, SAMUEL N. 79-44 CFTC 02/17/88 4f(1) 

4f(2) 19 6(b) 

1.17(a) 31.03 1.18(a) 1.10 

ZAMOJCIN, ALFRED JOHN 00-26 CFTC 8/7/00 4g 1.35(a-1)(1) COMMISSION ORDER 

ZARCONE, PHILLIP C. 93-18 CFTC 08/10/93 4f(b) 

6(c) 

1.10(d) 1.17(a)(1)(i) 1.17(a)(4) 

ZARCONE, PHILLIP C. 93-19 CFTC 08/10/93 4b(a)(i) 

4c(b) 4o(1)(B) 

33.10(a) 

ZATZ, DAVID 92-10 CFTC 09/10/93 

383
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ZEE, RICHARD JOHN 94-0220-C ND CA 05/08/95 4(a) PERMANENT INJUNCTI

ZEFF, EDWARD JAY 90-8 CFTC 03/27/90 4b 

4c(b) 

33.10 166.2 166.3 

ZEITLIN, WILLIAM S. 94-7910 CD CA 08/21/95 4b(a) 

4n(3)(A) 4o(1)(A) 4o(1)(B) 

1.31 4.20(b) 4.20(c) 4.23 4.32 

PERMANENT INJUNCTI

ZELENER, MICHAEL, an individual a/k/a MIKHAIL ZELENER, a/k/a MICHAEL MARSHALL 

03 C 4346 ND IL 6/24/03 STATUTORY EX PARTE 

RESTRAINING ORDER 

ZELNER, EDWARD L. 77-1 CFTC 10/29/85 4b(D) 

4c(a)(A) 

1.38(a) 

ZENN, KENNETH M. 79-4867 SD NY 10/30/79 4c(b) 

4c(c) 

 PERMANENT INJUNCTI

ZHUANG, JIAN CV03-8339 CD CAL 9/15/2004 CONTEMPT ORDER 

ZIA INVESTMENTS 93-C1022E ND OK 12/11/98 9(a)(1) PERMANENT INJUNCTIZIEGLER, TERRY 82-3 CFTC 11/20/81 4 

4h 4b 4c(b) 4c(c) 4m 4o(1) 

32.11 32.9 

ZIEGLER, TERRY R. 81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

ZIEGLER, TERRY R. 82-6850NCR SD FL 01/11/84 4d(2) 

4f(2) 4g(1) 

1.20(a) 1.17(a) 1.31 

PERMANENT INJUNCTI

384
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

1.32 1.25 1.26 1.28 

ZILBERT, MARC G. 85-6936 SD FL 01/24/86 4c(b) 

4c(c) 

33.9(c) 33.9(e) 33.3(a) 32.11(a) 33.10 32.9 33.3(b)(1) 33.7(b) 

PERMANENT INJUNCTI

ZIMMERMAN, DARRELLL M. 94-10 CFTC 09/26/94 6(c) 

6(d) 9(a)(2) 

33.9(d) 

ZINS, BRUCE 80-17 CFTC 09/04/81 4g(1) 

4g(3) 

1.31(a) 1.35(a) 

ZIOLKOWSKI, RAYMOND F. 83-58 CFTC 12/07/84 4c(a)(A) 

4c(a)(B) 

1.38(a) 

ZIPKIN, NORMAN 83-1591EBD SD FL 01/30/85 4o(1) PERMANENT INJUNCTI

ZIPKIN, WILLIAM L. 83-1591EBD SD FL 09/18/85 4b 

4o(1) 

4.21(a) 4.22(a) 4.22(b) 166.3 

PERMANENT INJUNCTI

ZIPKIN, WILLIAM L. 85-27 CFTC 09/16/85 4b 

4o(1) 

4.21(a) 4.22(a) 4.22(b) 166.3 

ZOLLER, JAMES M. 97-5691 INN. 02/23/99 4b(a)(i) 

4b(a)(ii) 4m(1) 4o(1) 

4.20(b) 4.20(c) 

PERMANENT INJUNCTI

385
CFTC PROCEEDINGS BULLETIN AS OF 12/31/04 

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE 

ACTS 

VIOLATED 

REGS 

VIOLATED 

DISPOSITION 

ZORDANI, GERALD F. 85-46 CFTC 02/21/86 4c(a)(B) 

4e 

1.38(a) 

ZOWEC INVESTMENT CORPORATION 

81-6615 SD FL 11/09/81 4c(c) 

4c(b) 4m 4o(1) 

32.11 32.9 

PERMANENT INJUNCTI

ZOWEE INVESTMENT CORPORATION 

82-3 CFTC 11/20/81 4 

4h 4b 4c(b) 4c(c) 4m 4o(1) 

32.11 32.9 

ZUCCARELLI, ERIC SD 97-3 CFTC 7/29/02 COMMISSION ORDER 

ZURICH TRADING CORPORATION 

82-27 CFTC 09/12/86 4b(A) 

4b(B) 4b(C) 4d(1) 4d(2) 4h(2) 4n(3)(A) 4n(4) 4o(1) 

1.7 1.20(a) 4.20 4.21(a) 4.21(b) 4.21(c) 4.22(a) 4.21(g) 4.22(n) 4.23 1.31 1.25 1.22 1.20 1.12 

386