PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

4NEXCHANGE 2-02 CV-432 D UT 4/25/2008 4b(a)(2)(i)&(iii)

; 4(a)

PERMANENT INJUNCTION

DEFAULT OPENALTY OJUDGMENT STOP SOLICPROHIBITIOREGISTRATUNDERTAK

AARISTO COMMODITIES AND FUTURES DMCC

07 Civ 2770 SD NY 4/8/2008 4c(a) 1.38(a) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST PAID WITHWITH UNDE

ABAD, PAUL SACV 08-1352 CD CAL 12/1/2008 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

ABDELDAYEM, MAZEN 03 CV 9128 SD NY 11/7/2006 ORDER DISGORGEM

RESTITUTIO

POST JUDGMONETARY POST JUDGBOOKS & RTRADING PAPPOINTED RECEIVER.

ABERNETHY, J. VERNON 04CV1512 D NJ 7/7/2006 4o(1); 4k(2) PERMANENT 

INJUNCTION

RESTITUTIOOWED PLUCIVIL MONPLUS POST TRADING PWITH UNDE

ABRAHAMS, DEREK 03-2193 D KS 4/19/2005 PERMANENT 

INJUNCTION

CIVIL MONBE PAID WPROHIBITIOUNDERTAK

Page 1
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ACCELERATION CAPITAL, LLC

07-03 CFTC 1/16/2007 4b(a)(2)(i)-(iii) COMMISSION ORDER CEASE & D

MONETARY BE PAID WCOMPLY W

ACE CAPITAL ADVISORY GROUP, INC.

CV03-8339 CD CAL 11/29/2006 ORDER DISGORGEM

JUDGMENT 

ACE EMERALD W. HOLDING, INC.

CV03-8339 CD CAL 3/15/2005 DEFAULT ORDER DISGORGEM

BOOKS & R

ADDISON FINANCIAL GROUP, INC.

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MON$3,329,524.5INTEREST JPROHIBITIOMONITOR; UNDERTAK

ADDISON MANAGEMENT GROUP, INC.

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MON$3,329,524.5INTEREST JPROHIBITIOMONITOR; UNDERTAK

AEP ENERGY SERVICES C2 03 891 SD OH 1/26/2005 CIVIL MON

$30,000,000 DAYS; PRORECORDS; UNDERTAK

AJR CAPITAL, INC. 05 CV 8422 SD NY 3/27/2007 4(a); 4b(a)(2); 

6c(a)

1.1(b) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OJUDGMENT WITHIN TE$4,547,300.9RESTITUTIOOWED; NFA 

Page 2
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ALARON TRADING CORPORATION

08-10 CFTC 4/18/2008 166.3 COMMISSION ORDER CIVIL MON

AND RESTITO BE PAID SHALL COM

ALLEN, JEFF THOMAS 05-08 CFTC 4/6/2005 4b(a)(i)&(iii); 

4o(1)(A)&(B)

COMMISSION ORDER CEASE & D

PROHIBITEPROHIBITETRADING FREGISTRATCOMPLY W

ALLEN, JOSEPH L. 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY DRISCOLL MONITOR.

ALLIANCE DEVELOPMENT COMPANY

CV-N-06-512 D NV 12/10/2008 4b(a)(2)(i)-(iii); 

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

4.41(a); 4.20(a)&(c); 4.21

PERMANENT INJUNCTION

RESTITUTIOPLUS POST 

( ) MONETARY 

SOLICITATMAY NOT ANFA DESIGCOMPLY W

ALLOTTA, GREG 04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

ALLOTTA, GREG P. 05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

ALTSCHULER, MELVOIN & GLASSER, LLP

04-29 CFTC 6/13/2005 1.16(d)(1) COMMISSION ORDER CEASE & D

CIVIL MONDISGORGEMRESTITUTIOCOMPLY WDISMISSED

AMARANTH ADVISORS (CALGARY) ULC

07 CIV 6682 SD NY 7/25/2007 COMPLAINT FILED

Page 3
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

AMARANTH ADVISORS LLC 07 CIV 6682 SD NY 7/25/2007 COMPLAINT FILEDAMERICAN ELECTRIC POWER COMPANY, INC.

C2 03 891 SD OH 1/26/2005 CIVIL MON

$30,000,000 DAYS; PRORECORDS; UNDERTAK

AMERICAN ENERGY EXCHANGE, INC.

06 CV 7017 SD NY 5/7/2007 4(a); 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$3,262,788.7INTEREST JMONETARY POST JUDGORDER; STPROHIBITIOUNDERTAK

AMERICAN FUTURES & OPTIONS EXCHANGE

07 CV 2377 SD NY 8/1/2007 4(a); 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O

$ , 412 609.21 JUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

AMERICAN FUTURES & OPTIONS TRADING COMMISSION

07 CV 2377 SD NY 8/1/2007 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$412,609.21 JUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

AMERICAN LIGHTHOUSE TRADING, INC.

06-60001 SD FL 6/19/2008 DEFAULT ORDER DISGORGEM

JUDGMENT 

AMERICAN MIDDLE SCHOOL ATHLETIC ASSOCIATION, INC.

2:08-3297 D SC 9/29/2008 COMPLAINT FILED

ANDERSON, WENDY 2:07-cv-01185-

RSL

WD WA 7/25/2008 DEFAULT ORDER DISGORGEM

Page 4
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ANGLO INTERNATIONAL ASSOCIATES LTD.

07 C 3598 ND IL 2/19/2008 COMPLAINT FILED

ANIXTER, SCOTT C. SD 04-03 CFTC 12/23/2005 COMMISSION ORDER COMMISSIO

ORDER AFFIN PART ANSUSPENDINUNTIL THE HIM ARE R

ARMAJARO TRADING LIMITED

05-11 CFTC 6/21/2005 4c(a) 1.39(a) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

ASARO, FRANK 03-2193 D KS 6/19/2007 ORDER ORDER REL

ENTERED; TRANSFERCONSIDERE

CIVIL MON

ASESORIA INVERTRUST C.A. 05-61903 SD FL 5/8/2007 4b(a); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT ODISGORGEMMONETARY POST JUDGEACH; PRORECORDS; PROHIBITIOUNDERTAK

ASTERN, RICHARD 06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT PENALTY OJUDGMENT SOLICITATNFA DESIG

ATHA, PAUL 1:05-CV-0293 ND GA 11/7/2007 PERMANENT 

INJUNCTION

CIVIL MONTO BE PAID PLUS POST 

Page 5
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

AURIFEX COMMODITIES RESEARCH COMPANY

1 05 CV 0166 WD MI 11/24/2008 4m(1); 

4b(a)(2)(i)&(iii); 4c(b); 4o(1)(A)&(B)

33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGSTOP SOLICPROHIBITIOAPPOINTED 

AURIFEX RESEARCH L.L.C. 1 05 CV 0166 WD MI 6/1/2006 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICPROHIBITIO

AXESS TRADE CO., INC. 04 CV 4293 SD NY 9/12/2006 4(a); 

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

1.1(b)(1)-(3) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGSTOP SOLICPROHIBITIOMONITOR; 

SHALL COM

BAERE, STEPHEN 04 CV 2093 SD CAL 4/11/2007 ORDER OF SUMMARY 

JUDGMENT

RESTITUTIODISGORGEMMONETARY COMPLY W

BAKER, PHILLIP J. 07 C 3598 ND IL 2/19/2008 COMPLAINT FILEDBALDWIN, ELIZABETH 07 CV 10270 SD NY 11/13/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

BALLY LINES, LTD. 8:07-CV-01658 MD FL 7/9/2008 4b(a)(2)(i)-(iii) PERMANENT 

INJUNCTION

DEFAULT O$452,000 PLJOINTLY OW

BAME, ROBERT CV08-05593 CD CAL 9/19/2008 4b(a)(2)(ii); 

4o(1)(A)&(B)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RTRADING PWITH UNDE

Page 6
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

BARTOS, ANDREW 05-60328 SD FL 8/18/2006 4c(b) 33.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOCIVIL MONTRADING PDESIGNATECOMPLY W

BASSETT, RONALD K. 2-02 CV-432 D UT 4/25/2008 4b(a)(2)(i)&(iii)

; 4(a)

PERMANENT INJUNCTION

DEFAULT OPENALTY OJUDGMENT STOP SOLICPROHIBITIOREGISTRATUNDERTAK

BAUGH, DERON 1 03 CV-2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGSOLICITAT

NFA DESIG

BAUGH, GARY 05-61672 SD FL 7/16/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

BAYOU MANAGEMENT, LLC 05 CIV 8374 SD NY 4/3/2006 4o(1); 9(a)(3) 1.16 PERMANENT 

INJUNCTION

RESTITUTIOPENALTY TSOLICITAT

BAYOU MANAGEMENT, LLC SD 06-06 CFTC 12/20/2006 COMMISSION ORDER CPO REGIS

DISMISSED

BEACON HILL ASSET MANAGEMENT, LLC

SD 05-02 CFTC 7/20/2005 ALJ INITIAL DECISION 

ON DEFAULT

COMMODITCOMMODITREGISTRATOF COMMI

BEACON ROCK CAPITAL, LLC SD 08-04 CFTC 9/17/2008 COMMISSION ORDER CPO & CTA 

Page 7
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

BEASLEY, ROBERT JOSEPH C 05 02142 ND CAL 8/19/2005 4o(1)(A)&(B) PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICPROHIBITIOASSOCIATETEMPORAR

BEHR, ERNST H. 04-2181 WD TN 9/27/2007 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

DEFAULT O$917,700 JOMONETARY SOLICITATDAN DRISCMONITOR; ATTORNEY

BELANGER, GEORGE d/b/a IFC L.C., INVESTMENT FREEDOM CLUB, VENTURE FREEDOM 

8:03-CV-54-T MD FL 4/4/2005 4(a); 4b(a) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

NFA DESIGSOLICITAT

, MOTION FO

FUND LTD., AND VENTURE FREEDOM FOUNDATION

JUDGMENT ISSUE OF DDETERMIN

BELBECK, DANIEL 1:04CV00911 MD NC 3/28/2006 4k(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OPROHIBITIOMONITOR.

BELSKY, YEHUDA 09-04 CFTC 12/18/2008 4b(a); 

4o(1)(A)&(B); 9(a)(4)

COMMISSION ORDER CEASE & D

MONETARY POST JUDGOWED WITTRADING P$1,250,000 PINTEREST JDAYS; NFA MAY NOT AWITH COMWITH UNDE

Page 8
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

BERG, GARY 05-07 CFTC 1/18/2005 4.36 COMMISSION ORDER CEASE & D

MONETARY PAID WITH

BERKSHIRE INTERNATIONAL HOLDINGS GROUP, LLC

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITATUNDERTAK

BERKSHIRE INTERNATIONAL HOLDINGS, LLC

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITATUNDERTAK

BERKSHIRE INTERNATIONAL, LLC a/k/a BERKSHIRE INTERNATIONAL GROUP, INC.

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITAT

UNDERTAK

BIRMA, LTD. 2:00CV00622 D UT 4/9/2007 4b(a)(i)-(iii); 

4o(1); 4m(1)

4.20(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED PLUINTEREST; UNDERTAK

BLJ CONSULTING CORP. 03 CV 9126 SD NY 11/9/2006 ORDER DISGORGEMBLOOM, ERIC A. 08CV2410 ND IL 4/28/2008 COMPLAINT FILEDBNP PARIBAS COMMODITY FUTURES, LTD.

08-06 CFTC 3/11/2008 17.01; 17.02 COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

BODY BLASTERS CV05 2660 CD CAL 12/11/2006 PERMANENT 

INJUNCTION

DEFAULT O$51,938 PLUINTEREST TSHALL COM

BONFITTO, JOSEPH JAMES 08 C 0192 ND IL 1/9/2008 COMPLAINT FILEDBOOT CAMP DIET & FITNESS, INC.

06-60001 SD FL 6/3/2008 PERMANENT 

INJUNCTION

DISGORGEMJUDGMENT APPOINTED 

Page 9
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

BOS, GERALD 09-02 CFTC 12/15/2008 6(c); 6(d); 

9(a)(2)

COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWDAYS; FIVE SHALL COM

BOWDEN, BERNADETTE (a/k/a BERNADETTE STATES AND BERNADETTE BOWDEN STATES)

08-22027-CIV SD FL 7/14/2008 COMPLAINT FILED

BP PRODUCTS NORTH AMERICA, INC.

06C 3503 ND IL 6/28/2006 COMPLAINT FILED

BRADLEY, JEFFREY A. 05CV62-CVEFHM ND GA 5/25/2007 6(c); 6(d); 9(a)(2) PERMANENT INJUNCTION CIVIL MON

PLUS POST COMPLY W

BRANC , NN . H, KENNETH L. DKC 008 789 2008-789 D MD 4/ / 008 4 2 4b(a)( )( )&( ) 2)(i)&(iii) 4.20(a)(1)(b)&(c); PRELIMINARY 

; 4m(1); 4k(2)&(3); 4o(1)

. 0(a)( )(b)&(c);

4.21; 4.22; 4.31

N

INJUNCTION

BRICKELL KEY FINANCIAL, LLC.

04-22549 SD FL 7/14/2006 4b(a)(2)(i)&(iii) 33.10 DEFAULT ORDER RESTITUTIO

POST JUDGMONETARY SOLICITAT

BRISCOE AND ASSOCIATES, INC.

05-61588 SD FL 11/30/2006 PERMANENT 

INJUNCTION

DEFAULT O$7,975; DAN MONITOR.

BROCKBANK, STEPHEN W. 2:00CV00622 D UT 4/9/2007 4b(a)(i)-(iii); 

4o(1); 4m(1)

4.20(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED PLUINTEREST; CIVIL MONSHALL COM

BURSZTYN, IAN 03 CV 9125 SD NY 11/7/2006 ORDER CIVIL MON

PLUS POST SOLICITAT

Page 10
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

BURSZTYN, IAN 03 CV 9127 SD NY 11/7/2006 ORDER RESTITUTIO

OWED; DISPLUS PRE & CIVIL MONPLUS POST PROTECT BSOLICITATBRIAN ROSRECEIVER.

BURSZTYN, IAN 03 CV 9128 SD NY 11/7/2006 ORDER RESTITUTIO

OWED; DISPLUS PRE & CIVIL MONPLUS POST SOLICITATBRIAN ROS

RECEIVER.

CALVARY CURRENCIES LLC a/k/a CALVARY CURRENCY

8:04-CV-01021-DKC

D MD 3/9/2007 4b(a)(2)(i)&(iii)

; 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY JOINTLY OWINTEREST; PROHIBITIOAPPLYING DESIGNATECOMPLY W

CAMBRIDGE GLOBAL GROUP, INC.

CV 03 1826 PHX D AZ 2/22/2006 4b(A)(2)(i)&(iii

); 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITATNFA DESIG

Page 11
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

CAMP, STEVEN M. 07-04 CFTC 2/20/2007 4b(a)(2)(i)&(iii)

; 4c(b)

33.10(a)&(c) COMMISSION ORDER CEASE & D

MONETARY PAID WITHPERMANENSHALL COM

CAMPBELL, DON D. 06-60886 SD FL 2/21/2008 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGWITHIN TETRADING PDESIGNATECOMPLY W

CAPUANO, JOHN 03 CV 9125 SD NY 11/7/2006 1.1(b) ORDER DISGORGEM

POST JUDGMONETARY POST JUDG

BOOKS & RPROHIBITIO

CARL W. KING INVESTMENTS, LLP

3-06CV1583 ND TX 5/22/2007 JUDGMENT RESTITUTIO

MONETARY EACH JOINSOLICITAT

CARNEGIE TRADING GROUP, LT., INC. (THE)

1:04CV1403 ND OH 6/27/2006 JUDGMENT DISGORGEM

OF $229,971PENALTY O

CASSIDY, KEVIN P. 08 CIV 9962 SD NY 11/18/2008 COMPLAINT FILEDCASTILLO, GILBERT PHILIP JR. C 06 2540 ND CAL 7/11/2008 4o(1)(A)&(B); 

4k(3); 4m(1)

4.41(a)(1)&(2); 4.41(b)(1)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT PENALTY OJUDGMENT SOLICITATMAY NOT ANFA DESIG

Page 12
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

CASTLE ENTERPRISE CORPORATION d/b/a WALLSTREETWAR.COM d/b/a CASTILLORESEARCH.COM d/b/a NEVER-LOSE.COM

C 06 2540 ND CAL 2/5/2007 4o(1)(A)&(B); 

4k(3); 4m(1)

4.41(a)(1)&(2); 4.41(b)(1)

PERMANENT INJUNCTION

DEFAULT ODISGORGEM& POST JUDOWED CIVI$480,000 PLINTEREST; PROHIBITIODESIGNATE

CECALA, JOSEPH J., JR. 04-2181 WD TN 2/1/2005 CONTEMPT ORDER VIOLATED 

RESTRAINIARE IN CIV

CENTURY MAXIM FUND, INC. 05 CV 8422 SD NY 3/27/2007 4(a); 4b(a)(2); 

6c(a)

1.1(b) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OJUDGMENT WITHIN TE$4,547,300.9

RESTITUTIOOWED; NFA 

CERTIFIED FINANCIAL SERVICES, INC.

06-60001 SD FL 8/16/2006 4c(b) 1.1(b)&(3); 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$363,428 W

CHADWICK GRAYSON BAUER & CO., INC.

05-61672 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

CHARLES, CAMERON 05-CV-2144 CD IL 6/18/2008 4b(a)(2)(i)&(iii)

; 4k(1)

PERMANENT INJUNCTION

CIVIL MONPLUS POST SOLICITATSHALL COM

CHASE COMMODITIES CORPORATION

SD 06-01 CFTC 9/13/2006 COMMISSION ORDER IB REGISTR

Page 13
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

CHOI, JINSUP a/k/a GENE CHOI d/b/a FUTURES INVESTMENT GROUP

SACV08-965 CD CAL 10/22/2008 4b(a)(2)(i)-(iii) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OJUDGMENT ACCESS BOSOLICITATNFA DESIGCOMPLY W

CITY TRUST AND INVESTMENT CO., INC.

CV 03-8339 CD CAL 4/19/2005 4(a); 

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

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

MONETARY PLUS POST PROTECT BSOLICITATNFA DESIG

CLEARVIEW CAPITAL CLEARVIEW CAPITAL 04 cv 45 (FSH) D NJ 1/17/2005 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT RESTITUTIO

MANAGEMENT, INC.

04 cv 45 (FSH) D NJ 1/17/2005 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT

INJUNCTION

RESTITUTIOJUDGMENT MONETARY JOINTLY OWTRADING PDESIGNATE

CLINE, RUSSELL B. CV 03 603 D OR 12/19/2006 4b(a); 4(a) 1.1(b) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PROTECT & ACCOUNT TRADING PWITH UNDE

COCOON TRADE INC. DKC 2008-789 D MD 4/4/2008 4b(a)(2)(i)&(iii)

; 4m(1); 4k(2)&(3); 4o(1)

4.20(a)(1)(b)&(c); 4.21; 4.22; 4.31

PRELIMINARY INJUNCTION

COES FX CLEARING INC. CV 05 2547 ED NY 7/21/2006 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT AS MONITO

Page 14
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

COLDWELL PUBLISHING, INC. 4:06CV130 ED VA 3/13/2007 4o(1) 4.41(a)&(b) PERMANENT 

INJUNCTION

DEFAULT O$2,908,620.6JUDGMENT CIVIL MON$8,725,862.0RECORDS; PROHIBITIOREGISTRAT

COLFAX MANAGEMENT GROUP, INC. (COLLECTIVELY, "ADDISON ENTERPRISE")

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MON$3,329,524.5INTEREST JPROHIBITIOMONITOR; UNDERTAK

COMMERCIAL HEDGE COMMERCIAL HEDGE 4:04CV3184 D NE 12/17/2007 4b(a)(2)(i)&(iii) 166.2; 33.10(a)&(c) PERMANENT RESTITUTIO

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

4:04CV3184 D NE 12/17/2007 4b(a)(2)(i)&(iii)

; 4o(1); 4c(b)

166.2; 33.10(a)&(c) PERMANENT

INJUNCTION

RESTITUTIO

WITHIN 20 PENALTY OYEAR TRADREAPPLY FCOMMISSIO

COMMODITY INVESTMENT GROUP, INC.

05 CV 5741 SD NY 2/27/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

JOINT OWEJOINTLY OWPENALTY OJUDGMENT PROHIBITIOREGISTRATMONITOR.

COMMODITY INVESTMENT GROUP, INC.

SD 07-04 CFTC 10/18/2007 ALJ INITIAL DECISION IB REVOKE

CONCORD ENERGY, LLC 05-D-178 D CO 3/13/2007 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONPLUS POST COMPLY W

Page 15
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

CORNERSTONE CAPITAL MANAGEMENT, LLC

1:07-CV-0274 ND GA 11/6/2007 4o(1); 9(a)(4) PERMANENT 

INJUNCTION

RESTITUTIOPENALTY TSOLICITAT

CORREA, PAULO R. a/k/a PAUL R. KARR

6:07-CV-0046 WD LA 1/9/2007 STATUTORY 

RESTRAINING ORDER

FREEZE OF BOOKS & R

CREDIT LYONNAIS ROUSE LIMITED

05-13 CFTC 8/24/2005 4c(a) 1.38(a) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

CROMWELL FINANCIAL SERVICES, INC.

06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT TUCELLI; C$9,200,000 PINTEREST; PROHIBITIO

MONITOR.

CROWN, BRUCE N. 04CV3641 ED PA 1/31/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OJUDGMENT NFA DESIGPROHIBITIOUNDERTAK

CROWN, BRUCE N. 05-60328 SD FL 8/18/2006 4c(b) 33.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOCIVIL MONTRADING PDESIGNATECOMPLY W

CSA TRADING GROUP, INC. 2:08-3297 D SC 9/29/2008 COMPLAINT FILEDDAIRY FARMERS OF AMERICA, INC.

09-02 CFTC 12/15/2008 6(c); 6(d); 

9(a)(2); 4a(e)

COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWDAYS; SHAUNDERTAK

Page 16
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

DANIEL ISLAND BUILDERS LLC

2:08-3297 D SC 9/29/2008 COMPLAINT FILED

DANIO, VINCENZO ("VINCENT")

05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

DANYLUK, DARRELL 05-D-178 D CO 3/27/2007 ORDER MOTION TO DASILVA, MAURICIO 04 CV 7609 SD NY 9/21/2005 4(a); 

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

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

$2,704,597 JMONETARY FREEZE OF BOOKS & RSTOP SOLIC

PROHIBITIO

DAYAN, BENJI 05-21571 SD FL 4/11/2008 4c(b) 32.9; 32.11(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATNFA DESIGCOMPLY W

DAYAN, BENJI 07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST TRADING PDESIGNATECOMPLY W

Page 17
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

DBS CAPITAL, INC. C 03-1379VRW ND CAL 6/17/2005 4(a); 4b(a)(2)(i)-

(iii)

1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT AND POST OWED; CIV$3,191,597.4INTEREST JDESIGNATEFREEZE LIF

DE WET, JAMES 05 CV 8401 SD NY 8/1/2006 DEFAULT ORDER CIVIL MON

RESTITUTIODISGORGEMPOST JUDGASSETS.

DEAN, JASON T. 05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISC

MONITOR.

DEAN, JASON TODD 06-60001 SD FL 1/31/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RGERALD B. TEMPORAR

DEAN, TARA LYN 06-60001 SD FL 1/31/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RGERALD B. TEMPORAR

DEFAZIO, CHARLES A. 06CV 0020 SD CAL 2/13/2008 4b(a)(2)(i)-(iii); 

4k(2); 4m(1); 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGJOINTLY OWTRADING POF NFA DE

DELAY, TODD J. 05-cv-5026 ND IL 9/29/2005 COMPLAINT FILED

Page 18
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

DEMASI, ANTHONY A. 07C 2256 ND IL 4/26/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RSHALL COM

DENNISTON, TOBY WAYNE II 06-05 CFTC 8/7/2006 4b(a)(2) COMMISSION ORDER CEASE & D

MONETARY POST JUDGOF $209,070 INTEREST; COMPLY W

DESANTIS, ERIN a/k/a ERIN ROSE VALKO

06-60001 SD FL 1/31/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RGERALD B. TEMPORAR

DESANTIS, FRANK A. a/k/a JOSH ANTHONY

06-60001 SD FL 9/9/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)-(c); 32.11

PERMANENT INJUNCTION

RESTITUTIO

( ) ( ); JUDGMENT 

CIVIL MONPLUS POST SOLICITATMAY NOT ASHALL COM

DESANTIS, FRANK ANTHONY a/k/a JOSH ANTHONY

05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

Page 19
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

DIAZ, RUSSELL 04-80562 SD FL 1/12/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED WITFOR $350,00JUDGMENT PENALTY OJUDGMENT SOLICITATNFA DESIGCLOSED.

DINAPOLI, ANTHONY 03 CV 9125 SD NY 3/23/2007 PERMANENT 

INJUNCTION

DEFAULT O$557,586 JOJUDGMENT PENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

DIZONA, ANTHONY H-05-0332 SD TX 2/1/2005 COMPLAINT FILEDDOMINION RESOURCES, INC. 06-06 CFTC 9/27/2006 9(a)(2) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

D'ONOFRIO, JOHN PETER 05-61672 SD FL 7/16/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

DOW, WALLY 04 CIV 3 04 0898 MD TN 1/18/2008 ORDER CONSENT O

GRANTED.

DOWSON, CHRISTOPHER 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILEDDOYLE, MATTHEW 06 CV 6094 SD NY 6/29/2007 4b(a)(2) DEFAULT ORDER RESTITUTIO

JUDGMENT PENALTY OJUDGMENT SOLICITATDAN DRISCMONITOR.

Page 20
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

DYER, KELLY H-05-0332 SD TX 11/7/2007 6(c); 6(d); 

9(a)(2); 13(a)

PERMANENT INJUNCTION

CIVIL MONJOINTLY OWINTEREST.

EDWARDS, TY 1 05-CV 2709 ND GA 11/8/2005 4o(1); 9a(4) 4.22(c) PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICAUTHORIZDISBURSE WEIZENEC$8,038 TO BTO LANDMLEGAL AND 

EDWARDS, TYRONE 1 03 CV-2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDG

SOLICITATNFA DESIG

EFROSMAN, ALEXSANDER a/k/a ALEX BESSER

05 CV 8422 SD NY 3/27/2007 4(a); 4b(a)(2); 

6c(a)

1.1(b) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OJUDGMENT WITHIN TE$4,547,300.9RESTITUTIOOWED; NFA 

EMERALD WORLDWIDE HOLDINGS

CV03-8339 CD CAL 11/30/2006 4(a); 4b(a) 1.1(b)(1)-(3) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

Page 21
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

E-METAL MERCHANTS, INC. 05-21571 SD FL 4/11/2008 4c(b) 32.9; 32.11(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATNFA DESIGCOMPLY W

ENERGY TRANSFER COMPANY

3-07CV1301-K ND TX 3/17/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MON$10,000,000 INTEREST JDAYS; SHAUNDERTAK

ENERGY TRANSFER PARTNERS, L.P.

3-07CV1301-K ND TX 3/17/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MON$10,000,000 INTEREST JDAYS; SHA

UNDERTAK

EQUITY FINANCIAL GROUP, LLC

04CV1512 D NJ 6/4/2008 PERMANENT 

INJUNCTION

DISGORGEMMONETARY RESTITUTIOOWED.

ERSKINE, ROSS 1:040V0016 ND OH 4/19/2006 DISMISSEDERV & ASSOCIATES, INC. 06-60001 SD FL 8/16/2006 4c(b) 1.1(b)&(3); 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$124,024 W

ERVIN, JON G. SACV08-00474 CD CAL 5/1/2008 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RTHOMAS ATEMPORAR

ETC MARKETING, LTD. 3-07CV1301-K ND TX 3/17/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MON$10,000,000 INTEREST JDAYS; SHAUNDERTAK

EULO, JAMES 04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

Page 22
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

EUSTACE, PAUL M. 05 cv 2973 ED PA 8/13/2008 ORDER RESTITUTIO

POST JUDGOWED: CIV$12 MILLIODESIGNATECOMPLY W

EVORS, EDWARD J. 8:07-CV-01658 MD FL 7/9/2008 4b(a)(2)(i)-(iii) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONSTOP SOLICPROHIBITIOMONITOR; REGISTRAT

EXECUTIVE COMMODITY CORP.

06-60886 SD FL 2/21/2008 4c(b) 33.10; 33.7(f) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDG

WITHIN TETRADING PDESIGNATECOMPLY W

FALCO & STEVENS, INC. 06 CV 1692 SD NY 12/18/2006 4(a); 

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

1.1(b)(1)&(3) PERMANENT 

INJUNCTION

DEFAULT ORESTITUTIOPOST JUDGMONETARY POST JUDGASSETS; PRRECORDS; SOLICITATSHALL COM

Page 23
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FASTIAN, WOLFGANG J. 04 CIV 3 04 0898 MD TN 3/4/2008 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOOF $187,000PENALTY OJUDGMENT TEN DAYS; MONITOR.

FED AND ASSOCIATES, LLC. 05-61588 SD FL 11/30/2006 PERMANENT 

INJUNCTION

DEFAULT O$155,000; DMONITOR.

FERRINI, PHIL 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY DRISCOLL MONITOR.

FINANCIAL RISK INTERNATIONAL

06-61812 SD FL 10/1/2008 4c(b) 1.1(b); 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST 

SOLICITATMARK SILVRECEIVER; MONITOR; UNDERTAK

FINANCIAL RISK MANAGEMENT

06-61812 SD FL 10/1/2008 4c(b) 1.1(b); 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATMARK SILVRECEIVER; MONITOR; UNDERTAK

FIRST AMERICAN INVESTMENT SERVICES, INC.

04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

Page 24
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FIRST INTERNATIONAL GROUP, INC.

06-20979 SD FL 4/18/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

FIRST LEXINGTON GROUP, LLC

03 CV 9124 SD NY 3/24/2008 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT ORESTITUTIOPOST JUDGMONETARY POST JUDGACCESS BOSOLICITATBRIAN ROSPERMANEN

FIRST LIBERTY GROUP, INC. 04 CV 7609 SD NY 9/21/2005 4(a); 

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

(iii)

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

$2,704,597 J

( ) MONETARY 

FREEZE OF BOOKS & RSTOP SOLICPROHIBITIO

FIRTH, VINCENT J. 04CV1512 D NJ 6/4/2008 PERMANENT 

INJUNCTION

DISGORGEMMONETARY RESTITUTIOOWED.

FITZGERALD, LEIZA 99 CV 1558 MD FL 10/19/2006 PERMANENT 

INJUNCTION

CIVIL MON

FLAVELL, BERNADETTE 05C 5263 ND IL 4/23/2007 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST TRADING PWITH UNDE

Page 25
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FLEURY, GIOVANNI 03-61199 SD FL 3/9/2005 ORDER PLAINTIFF'

INJUNCTIORESTRAINIRECEIVER'ORDER TO SHOULD NCONTEMPT CORPORATDEFENDANRIGHT TO KAFTER 6/30STATUTORLIFTED, WAAND DEUTCOMPANYFORECLOSPROPERTY DENIED AS 

FOLEY, JOSEPH 2:05 cv 849 SD OH 9/28/2006 PERMANENT 

INJUNCTION

CIVIL MONTO BE PAID PROTECT & STOP SOLICPROHIBITIO

FOLINA, TINA NOA 8:03-CV-54-T MD FL 3/30/2005 FINAL JUDGMENT RESTITUTIO

OWED WITLIABLE FOR DISGORGEM

FOLINO, WILLIAM A. 8:03-CV-54-T MD FL 4/4/2005 4(a); 4b(a) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

NFA DESIGSOLICITATMOTION FOJUDGMENT ISSUE OF DDETERMIN

Page 26
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FOREFRONT INVESTMENTS CORP. d/b/a CFG TRADER

3:07CV152 ED VA 3/31/2008 4f(b); 4f(a)(1) 1.17; 1.18 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST COMPLY W

FOREFRONT INVESTMENTS LIMITED PARTNERSHIP

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MON$1,065,459.6INTEREST; DESIGNATECOMPLY W

FOREIGN FUND a/k/a FIRST BANK, RON MEALING, AND JOHN SHIRCK

04 CIV 3 04 0898 MD TN 3/30/2005 4b(a)(2)(i)&(iii)

; 4(a)

1.1(b)(1)&(3) PRELIMINARY 

INJUNCTION

STOP SOLIC10/5/04 STASHALL CONORDER OF 

FOREX LIQUIDITY LLC SACV 07-1437 

CJC

CD CAL 12/14/2007 EX PARTE 

STATUTORY 

FREEZE OF BOOKS & R

RESTRAINING ORDER

ROBB EVAAPPOINTED 

FORINEX INVESTMENT CORP. 05-61903 SD FL 5/8/2007 4b(a); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT ODISGORGEMMONETARY POST JUDGEACH; PRORECORDS; PROHIBITIOUNDERTAK

FORTE, JOSEPH S. 09-0064PD ED PA 1/8/2009 4b(a)(2)(i)-(iii); 

4b(a)(1)(A)-(C); 4m(1); 4o(1)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RSHALL COM

FORTIS INVESTMENT MANAGEMENT USA, INC.

09-05 CFTC 1/8/2009 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

Page 27
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FORWARD INVESTMENT GROUP, LLC

CV08-05593 CD CAL 9/19/2008 4b(a)(2)(ii); 

4o(1)(A)&(B)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RTRADING PWITH UNDE

FREE STAR CAPITAL, INC. 03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

FREMER, CHARLES FREMER, CHARLES 04 80132 - SD FL 5/30/2006 5/30/2006 13c(b); 6(c) 13c(b); 6(c) 1.2 FINAL JUDGMENT FINAL JUDGMENT RESTITUTIO

RESTITUTIO

OWED; CIV$352,011; STPROHIBITIO

FRIEDLANDER CAPITAL MANAGEMENT CORPORATION

03 CV 8319 SD NY 2/20/2007 4b(a)(2)(i)-(iii); 

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

3.12; 4.21; 4.22; 4.20

PERMANENT INJUNCTION

RESTITUTIOOWED; STOPROHIBITIOMONITOR.

FRIEDLANDER, BURTON G. 03 CV 8319 SD NY 2/20/2007 4b(a)(2)(i)-(iii); 

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

3.12; 4.21; 4.22; 4.20

PERMANENT INJUNCTION

RESTITUTIOOWED; STOPROHIBITIOMONITOR.

FRISONE, ANTHONY MICHAEL

CV 05 2547 ED NY 4/12/2007 4b(a)(2)(i)&(iii) 1.1(b)(1)-(3) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST SOLICITATSHALL COM

FUTURES TRADING ACADEMY, INC.

1:07-cv-22396 SD FL 12/19/2008 PERMANENT 

INJUNCTION

DEFAULT O$420,132.

Page 28
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

FUZZY GROUP (THE) 03 CV 9126 SD NY 11/6/2006 ORDER DISGORGEM

DAYS; ALL DISSOLVED

FX TRADING, LLC 05-5722 D NJ 12/8/2005 STATUTORY 

RESTRAINING ORDER

FREEZE OF BOOKS & R

FxTRADE FINANCIAL, LLC 04-2181 WD TN 9/27/2007; 

10/18/07

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

INJUNCTION

DEFAULT O$917,700 JOMONETARY SOLICITATDAN DRISCMONITOR; ATTORNEYMODIFIED JOINTLY OW

G, HAWKER & STONE, LLC 2:03 CV-0260 D UT 3/29/2006 SUPPLEMENTAL 

ORDER

RESTITUTIOJUDGMENT MONETARY JOINTLY OW

G7 ADVISORY SERVICES, LLC 05-80313 SD FL 10/31/2006 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOPOST JUDGOWED; CIV$1,500,000 PINTEREST JDRISCOLL MONITOR.

GAHMA CORPORATION 2:00CV00622 D UT 4/9/2007 4b(a)(i)-(iii); 

4o(1); 4m(1)

4.20(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGCOMPLY W

GALAXY RESOURCES 2000, LLC

06CV 0020 SD CAL 2/13/2008 4b(a)(2)(i)-(iii); 

4k(2); 4m(1); 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGJOINTLY OWTRADING POF NFA DE

GALE, RANDOLPH dba BEAR INVEST FUND

04-08889 CD CAL 6/16/2005 4k(2) PERMANENT 

INJUNCTION

STOP SOLICPROHIBITIOUNDERTAK

Page 29
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

GALLITANO, STEPHANIE ANN 06-61812 SD FL 10/1/2008 4c(b) 1.1(b); 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATMARK SILVRECEIVER; MONITOR; UNDERTAK

GARCIA, MARIO 6:07-CV-0046 WD LA 1/9/2007 STATUTORY 

RESTRAINING ORDER

FREEZE OF BOOKS & R

GEE, DENNIS 06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT PENALTY OJUDGMENT SOLICITAT

NFA DESIG

GEMANCER II, INC. CV05 2660 CD CAL 12/11/2006 4o(1) 4.41(a) PERMANENT 

INJUNCTION

DEFAULT O$3,000,000 PINTEREST & OF $9,000,0SOLICITATSHALL COM

GEMANCER, INC. CV05 2660 CD CAL 12/11/2006 4o(1) 4.41(a) PERMANENT 

INJUNCTION

DEFAULT O$3,000,000 PINTEREST & OF $9,000,0SOLICITATSHALL COM

Page 30
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

GERAUD ENTERPRISES, INC. 05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$49,100; CIV$240,000 JOSOLICITATUNDERTAK

GERAUD, MICHEL a/k/a MIKE JERAUX

05-80313 SD FL 10/31/2006 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOPOST JUDGOWED; CIV$1,500,000 PINTEREST JDRISCOLL MONITOR.

GIBRALTAR MONETARY CORPORATION

04-80132 SD FL 6/14/2006 RESTITUTIO

OWED; CIV$120,000.

GILMARTIN, THOMAS 08-02 CFTC 12/26/2007 4g 1.35(a-1)(1); 166.3 COMMISSION ORDER CEASE & D

MONETARY NOT APPLY 

COMPLY W

GIOVANNI FLEURY INVESTMENTS

03-61199 SD FL 3/9/2005 ORDER PLAINTIFF'

INJUNCTIORESTRAINIRECEIVER'ORDER TO SHOULD NCONTEMPT CORPORATDEFENDANRIGHT TO KAFTER 6/30STATUTORLIFTED, WAAND DEUTCOMPANYFORECLOSPROPERTY DENIED AS 

Page 31
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

GLASE, JOHN 1:04CV1403 ND OH 6/27/2006 JUDGMENT DISGORGEM

OF $229,971PENALTY O

GLASE, JOHN C. SD 08-03 CFTC 7/30/2008 STATUTORY 

DISQUALIFICATION

GLOBAL ASSET PARTNERS, LTD. a/k/a GLOBAL ASSET PARTNERS, LLC

2:07-cv-01185-RSL

WD WA 9/9/2008 4c(b) 1.1(b)(2); 32.9(a)-

(c)

PERMANENT INJUNCTION

RESTITUTIOOWED; CIV$11,612,538JUDGMENT SOLICITATSHALL COM

GLOBAL ATLANTIC MANAGEMENT, INC. d/b/a WORLDWIDE FOREX, INC. AND WORLDWIDE COMMODITY CORP.

04-60797 SD FL 5/24/2007 4b(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST OWED; STO

PROHIBITIODESIGNATE

GLOBAL CURRENCY TRADING FUND, LLC

2:07-cv-01185-RSL

WD WA 9/9/2008 4c(b) 1.1(b)(2); 32.9(a)-

(c)

PERMANENT INJUNCTION

RESTITUTIOOWED; CIV$11,612,538JUDGMENT SOLICITATSHALL COM

GLOBAL CURRENCY TRADING GROUP, LLC

2:07-cv-01185-RSL

WD WA 9/9/2008 4c(b) 1.1(b)(2); 32.9(a)-

(c)

PERMANENT INJUNCTION

RESTITUTIOOWED; CIV$11,612,538JUDGMENT SOLICITATSHALL COM

Page 32
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

GLOBAL MANAGEMENT GROUP

CV 03 1826 PHX D AZ 2/22/2006 4b(A)(2)(i)&(iii

); 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITATNFA DESIG

GLOBAL TELECOM, INC. 01-18 CFTC 10/4/2005 COMMISSION ORDER CIVIL MON

THE REVOCREGISTRATBAN, AND A IMPOSED BAPPEALED 

GOLDMAN, ROSALIND 07-61058 SD FL 8/25/2008 PERMANENT 

INJUNCTION

DISGORGEMOWED; SHAUNDERTAK

GOLDMAN, SAMMY JOE 07-61058 SD FL 8/25/2008 PERMANENT 

INJUNCTION

DISGORGEMOWED; SHA

UNDERTAK

GOROS, LLC 1:040V0016 ND OH 4/19/2006 DISMISSEDGPS FUND, LTD. 8:07-CV-01658 MD FL 7/9/2008 4b(a)(2)(i)-(iii) PERMANENT 

INJUNCTION

DEFAULT O$452,000 PLJOINTLY OW

GRANT, PAUL R. 2-02 CV-432 D UT 11/18/2008 4b(a)(2)(i)&(iii)

; 4(a)

PERMANENT INJUNCTION

CIVIL MONPLUS POST OWED; STOPROHIBITIOREGISTRATUNDERTAK

GREG ALLOTTA ENTERPRISES, INC.

05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

GUARINO, NICHOLAS A., JR. 03-2193 D KS 7/11/2006 4o(1) 4.41(a) PERMANENT 

INJUNCTION

DEFAULT O$2,374,582 APENALTY OOWED; TRA

Page 33
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

GUTHRIE, TODD 07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATNFA DESIGCOMPLY W

HAINKE & ANDERSON TRADING LLC

07 Civ 2770 SD NY 4/5/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

HAMLIN MERCER GROUP, INC.

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MON$3,329,524.5INTEREST J

PROHIBITIOMONITOR; UNDERTAK

HANFORD INVESTMENTS LTD.

07 C 3598 ND IL 2/19/2008 COMPLAINT FILED

HANMAN, GARY 09-02 CFTC 12/15/2008 6(c); 6(d); 

9(a)(2)

COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWDAYS; FIVE SHALL COM

HARP, ROBERT H-05-0332 SD TX 11/7/2007 6(c); 6(d); 

9(a)(2); 13(a)

PERMANENT INJUNCTION

CIVIL MONJOINTLY OWINTEREST.

HARRINGTON ADVISORY SERVICES SLU a/k/a HARRINGTON GROUP, INC.

05-61588 SD FL 11/30/2006 4o(1)(A)&(B); 

4k(3); 4m(1)

4.41(a)(1)&(2); 4.41(b)(1)

PERMANENT INJUNCTION

DEFAULT O$9,555,041 APENALTY OOWED; STOPROHIBITIODESIGNATE

Page 34
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

HARRIS, CHARLES LEE 04C 5723 ND IL 2/9/2006 4b(a)(i)-(iii); 

4c(b); 4o(1); 4k(2); 4m(1)

33.10 PERMANENT 

INJUNCTION

PROTECT BSOLICITATRESTITUTIOJUDGMENT CIVIL MONPLUS POST OWED.

HAWKER, BRYAN KEITH 2:03 CV-0260 D UT 3/29/2006 SUPPLEMENTAL 

ORDER

RESTITUTIOJUDGMENT MONETARY JOINTLY OW

HAYES, MICHAEL 4:06cv130 ED VA 3/13/2007 4o(1) 4.41(a)&(b) PERMANENT 

INJUNCTION

DEFAULT O$2,908,620.6JUDGMENT CIVIL MONPROTECT BSOLICITAT

MAY NOT A

HAYNES, SHAD THOMAS 04-80562 SD FL 1/12/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED WITRESPONSIBPOST JUDGMONETARY PRE & POST SOLICITATNFA DESIGCLOSED.

HEFFERNAN, GEORGE a/k/a GEORGE W. MARSHALL

4 04 23302 25 D SC 2/25/2008 4m 4.21 PERMANENT 

INJUNCTION

DISGORGEMMONETARY 

Page 35
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

HEIERLE, JOERG 1:07-cv-22396 SD FL 12/19/2008 4b(a)(2); 4c(b); 

4o(1)(A)&(B); 4m(1); 4k(2)

33.10(a)-(c); 4.20(a)(1)&(b); 4.21; 4.22

PERMANENT INJUNCTION

DEFAULT O$3,075,841 PINTEREST JMONETARY PLUS POST PROTECT BSOLICITATMAY NOT ANFA DESIGCOMPLY W

HEPPNER, ANTHONY J. 02-1783 D MN 9/5/2007 ORDER REQ

$209,127.10 RESTITUTIO

HOFFMAN, PETER D. 06C 6473 ND IL 3/4/2008 4b(a)(2)(i)&(iii)

; 4c(b); 4o(1)

33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGSOLICITAT

NFA DESIGCOMPLY W

HOLMAN, EDDIE JR. d/b/a CTHRU INC. 06-07 CFTC 9/27/2006 4o 4.13(c)(1)&(3); 4.20(c) COMMISSION ORDER CEASE & D

MONETARY RESTITUTIOWITHIN TETRADING PWITH UNDE

HOLT, RONALD STEPHEN CV 03 1826 PHX D AZ 2/22/2006 4b(A)(2)(i)&(iii

); 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITATNFA DESIG

HOUSTON PIPELINE COMPANY

3-07CV1301-K ND TX 3/17/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MON$10,000,000 INTEREST JDAYS; SHAUNDERTAK

Page 36
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

HPR COMMODITIES 07 CV 2379 SD NY 8/1/2007 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$4,085,880 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

HUDGINS, GEORGE, individually and dba GEORGE D. HUDGINS, LLC

608CV187 ED TX 6/9/2008 4b(a)(2)(i)-(iii); 

4m(1); 4o(1)

33.10(a)-(c); 4.41(a)

PRELIMINARY INJUNCTION

MR. KELLY RECEIVER.

HUNTER, BRIAN 07 CIV 6682 SD NY 7/25/2007 COMPLAINT FILEDHUSAIN, LALITA 07-61058 SD FL 8/25/2008 PERMANENT 

INJUNCTION

DISGORGEMOWED; SHAUNDERTAK

HUSAIN, MANSURE "MANNY" 07-61058 SD FL 8/25/2008 4(f)(b); 9(a)(4) 1.17(a)(1)(i)(C); 

1.10(d)(1)(vi)

PERMANENT INJUNCTION

RESTITUTIO

( )( )( ) JUDGMENT 

CIVIL MONPLUS POST DISGORGEMOWED; SHAUNDERTAK

HUSAIN, SULAIMAN "SAL" 07-61058 SD FL 8/25/2008 4(f)(b); 9(a)(4) 1.17(a)(1)(i)(C); 

1.10(d)(1)(vi)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST DISGORGEMOWED; SHAUNDERTAK

Page 37
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

IANNUZZI, ANTHONY 03 CV 9125 SD NY 11/9/2006 ORDER DISGORGEM

RESTITUTIOPOST JUDGMONETARY PROTECT BSOLICITATBRIAN ROSEQUITY RE

IANNUZZI, ANTHONY 03 CV 9129 SD NY 11/9/2006 DISGORGEM

RESTITUTIOPOST JUDGMONETARY POST JUDGBOOKS & RTRADING PAPPOINTED RECEIVER.

IMS HOLDINGS, LLC 05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITATUNDERTAK

INFOREX, LTD. 3-05 CV 0416M ND TX 1/26/2007 4c(b) 1.1(b); 32.9; 32.11 PERMANENT 

INJUNCTION

JOINT OWEPLUS POST OWED CIVI$37,122,312 INTEREST; & ACCESS SOLICITATKELLY CRARECEIVER.

Page 38
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

INH INTERHOLDING SA 1:07-cv-22396 SD FL 12/19/2008 4b(a)(2); 4c(b); 

4o(1)(A)&(B); 4m(1); 4k(2)

33.10(a)-(c); 4.20(a)(1)&(b); 4.21; 4.22

PERMANENT INJUNCTION

DEFAULT O$3,075,841 PINTEREST JMONETARY PLUS POST PROTECT BSOLICITATMAY NOT ANFA DESIGCOMPLY W

INNOVATIVE CAPITAL MANAGEMENT, LLC

09-04 CFTC 12/18/2008 4b(a); 

4o(1)(A)&(B); 9(a)(4)

COMMISSION ORDER CEASE & D

MONETARY POST JUDGOWED WITTRADING P$1,250,000 PINTEREST J

DAYS; NFA MAY NOT AWITH COMWITH UNDE

INTERACTIVE BROKERS, LLC 07-07 CFTC 7/17/2007 166.3 COMMISSION ORDER CEASE & D

OF $175,000 BUSINESS DUNDERTAK

INTERNATIONAL BERKSHIRE GROUP HOLDINGS, INC.

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITATUNDERTAK

INTERNATIONAL COMMODITY CLEARING, LLC

05 CV 5741 SD NY 2/27/2007 PERMANENT 

INJUNCTION

JOINT OWEJOINTLY OW

Page 39
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

INTERNATIONAL ENERGY EXCHANGE

07 CV 2378 SD NY 7/23/2007 4(a); 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$3,995,823 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

INTERNATIONAL FOREX ADVISORY GROUP

05 CV 4819 SD NY 11/4/2005 4c(b) 1.1(b) DEFAULT ORDER RESTITUTIO

POST JUDGMONETARY POST JUDGWITHIN TEPROTECT & ACCOUNT 

INTERNATIONAL FUNDING ASSOCIATION, INC.

CV 03 1826 PHX D AZ 2/22/2006 4b(A)(2)(i)&(iii

); 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITATNFA DESIG

INTERNATIONAL IMS GROUP HOLDINGS, INC., a/k/a IMS HOLDINGS, INC. a/k/a IMS GROUP HOLDINGS, INC.

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; $240,000 JOSOLICITATUNDERTAK

INTERNATIONAL INVESTMENTS HOLDINGS CORPORATION

05-61588 SD FL 11/30/2006 PERMANENT 

INJUNCTION

DEFAULT O$1,350,000; AS MONITO

INTERNATIONAL INVESTMENTS HOLDINGS CORPORATION

06-60001 SD FL 8/16/2006 4c(b) 1.1(b)&(3); 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$6,060,000 PINTEREST WMONETARY WITHIN TETRADING P

Page 40
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

INVERTRUST, INC. 05-61903 SD FL 5/8/2007 4b(a); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT ODISGORGEMMONETARY POST JUDGEACH; PRORECORDS; PROHIBITIOUNDERTAK

INVESTORS FREEDOM CLUB, L.C.

8:03-CV-54-T MD FL 4/4/2005 4(a); 4b(a) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

NFA DESIGSOLICITATMOTION FOJUDGMENT ISSUE OF DDETERMIN

ISB CLEARING CORPORATION 03 CV 9127 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O

$, , 12 059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

ISB CLEARING CORPORATION 03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

Page 41
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ISRAEL, SAMUEL II 05 CIV 8374 SD NY 4/3/2006 4o(1); 9(a)(3) 1.16 PERMANENT 

INJUNCTION

RESTITUTIOPENALTY TSOLICITAT

ISRAEL, SAMUEL II SD 06-03 CFTC 8/21/2006 COMMISSION ORDER AP REVOKE

UNDERTAK

ITRADECURRENCY USA, LLC 03 CV 9125 SD NY 8/6/2008 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$447,314 PLINTEREST JIANNUZZI; OF $240,000 INTEREST; STOP SOLICPROHIBITIOREGISTRATAPPOINTED SHALL COM

ITRADECURRENCY USA, LLC 03 CV 9129 SD NY 8/15/2008 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$970,573 PLINTEREST JIANNUZZI; OF $240,000 INTEREST; STOP SOLICPROHIBITIOREGISTRATAPPOINTED SHALL COM

JADE TRADER CV04-8213 CD CAL 6/11/2008 4b(a)(2)(i)&(iii)

; 4o(1); 4m(1); 4k(3)

4.41(a); 3.12(a); 4.31(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY PRE & POST JOINTLY OWTRADING PDESIGNATE

Page 42
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

JAIN, KANTA NATH 07 Civ 2770 SD NY 4/5/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

JAIN, NARESH KUMAR 07 Civ 2770 SD NY 4/5/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

JASON'S ROOFING AND WATERPROOFING, INC.

06-60001 SD FL 8/16/2006 4c(b) 1.1(b)&(3); 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$529,340 W

JEDLICKI, JEFFERY PAUL 05-61588 SD FL 10/12/2007 4c(b) 1.1(b)(1)&(3); 1a(4) PERMANENT 

INJUNCTION

RESTITUTIO4405,682.04 INTEREST DDAYS; DAN MONITOR.

JEDLICKI, JEFFREY P. 06-60001 SD FL 9/28/2006 DISGORGEM

WITHIN TEINTEREST; 

AS MONITO

JEDLICKI, JEFFREY P. a/k/a JEFFREY PAUL

05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

JEDLICKI, TIRTZA 06-60001 SD FL 9/28/2006 DISGORGEM

WITHIN TEINTEREST; AS MONITO

JEFFERY JEDLICKI, INC. 05-61588 SD FL 10/12/2007 PERMANENT 

INJUNCTION

DISGORGEMPOST JUDGTEN BUSINDESIGNATE

JEN, LYNNWOOD CV03-8339 CD CAL 11/29/2006 ORDER DISGORGEM

JUDGMENT 

Page 43
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

JIMENEZ, ALBERTO J. 06-60886 SD FL 2/21/2008 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGWITHIN TETRADING PDESIGNATECOMPLY W

JOE VALKO ENTERPRISES, INC.

06-60001 SD FL 8/16/2006 4c(b) 1.1(b)&(3); 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$70,116 WIT

JOHN TADDEO ENTERPRISES, INC.

06-60001 SD FL 6/3/2008 PERMANENT 

INJUNCTION

DISGORGEMJUDGMENT 

JOHNSON, DENETTE H-05-0332 SD TX 11/7/2007 6(c); 6(d); 

9(a)(2); 13(a)

PERMANENT INJUNCTION

CIVIL MONJOINTLY OWINTEREST.

JOHNSON, EDWARD T. 04-80132 SD FL 5/30/2006 13c(b); 6(c) 1.2 FINAL JUDGMENT RESTITUTIO

OWED; CIV$191,; 

367 ST

PROHIBITIO

JOHNSON, G. VICTOR 04-29 CFTC 6/13/2005 1.16(d)(1) COMMISSION ORDER CEASE & D

CIVIL MONDISGORGEMRESTITUTIOWITH UNDE

JSG FREIGHT SYSTEMS, INC. 03 CV 9126 SD NY 11/9/2006 ORDER DISGORGEMKAHN, LARRY 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOOWED; CIV$525,000; DDESIGNATE

KARKAZIS, HARRY 07-01 CFTC 12/27/2006 4b(a)(1)(iv) 1.35(d)(6)&(7) COMMISSION ORDER CEASE & D

MONETARY PAID WITHREGISTRATMONTHS; SUNDERTAK

Page 44
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

KARVELLAS, STEVEN 08-08 CFTC 4/8/2008 4b(a)(1)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY POST JUDGWITHIN TETRADING PFOR REGISWITH UNDE

KAULENTIS, DEAN J. SD 05-05 CFTC 8/1/2005 COMMISSION ORDER FLOOR BRO

SUSPENDERESTRICTESUSPENSIO

KEANE, BRIAN 09-01 CFTC 10/6/2008 4b(a)(1)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY PAID WITHTRADING PFOR REGIS

WITH UNDE

KEEFFE, ARTHUR JOHN, II 8:04-CV-01021-

DKC

D MD 3/9/2007 4b(a)(2)(i)&(iii)

; 4(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY JOINTLY OWINTEREST; PROHIBITIOAPPLYING DESIGNATECOMPLY W

KEESEE, TOM 06-20979 SD FL 4/18/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

KELLY, DAVID PAUL, II 03-74206 ED MI 6/8/2005 4k(2) DEFAULT ORDER DISGORGEM

MONETARY PROTECT BSOLICITAT

KEMPEN, BASTIAN VAN 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILED

Page 45
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

KENNEDY, THOMAS C. 06-60886 SD FL 2/21/2008 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY POST JUDGWITHIN TETRADING PDESIGNATECOMPLY W

KING, CARL W. 3-06CV1583 ND TX 5/22/2007 JUDGMENT RESTITUTIO

MONETARY EACH JOINSOLICITAT

KINGSFIELD, PAMELA 3:00cv103-V WD NC 10/25/2006 ORDER DISGORGEMKIS, CHRISTIAN 3 06 0935 MD TN 2/6/2008 4b(a)(2)(ii); 

4o(1)(A)&(B); 4m(1)

4.20; 4.21; 4.30; 4.31

PERMANENT INJUNCTION

RESTITUTIOMONETARY POST JUDGSOLICITAT

DAN DRISCMONITOR.

KLINE, JAYSON S. 04-80132 SD FL 5/30/2006 13c(b); 6(c) 1.2 FINAL JUDGMENT RESTITUTIO

OWED; CIV$240,000; STPROHIBITIO

KLOTZ, MONETTE 1 05 CV 0166 WD MI 2/1/2008 4b(a)(2)(i)-(iii); 

4c(b); 4o(1); 4m(1); 4n(4)

33.10; 4.22; 4.21; 4.20(c)

PERMANENT INJUNCTION

RESTITUTIOPOST JUDGOWED; CIV$350,000 PLSTOP SOLICPROHIBITIOAPPOINTED 

Page 46
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

KLOTZ, TY 1 05 CV 0166 WD MI 2/1/2008 4b(a)(2)(i)-(iii); 

4c(b); 4o(1); 4m(1); 4n(4)

33.10; 4.22; 4.21; 4.20(c)

PERMANENT INJUNCTION

RESTITUTIOPOST JUDGOWED; CIV$960,000 PLSTOP SOLICPROHIBITIOAPPOINTED 

KNOWLES, STEVEN D. 04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

KNOWLES, STEVEN D. 05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

KOROBOV, MICHAEL KOROBOV, MICHAEL 03 CV 9126 03 CV 9126 SD NY 11/6/2006 11/6/2006 4b(a)(2); 4(a) 4b(a)(2); 4(a) 1.1(b) PERMANENT PERMANENT RESTITUTIO

INJUNCTION

RESTITUTIO

JUDGMENT PENALTY OJUDGMENT SOLICITATALL PRIOR DISSOLVED

KUHNEY, LINDA a/k/a LINDA REINMAN ENZINNA

05 CV 5741 SD NY 2/27/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PRE & POST TRADING PFOR REGISMONITOR.

KUHNEY, MICHAEL a/k/a MICHAEL KIRKNEY

05 CV 5741 SD NY 2/27/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PRE & POST TRADING PFOR REGISMONITOR.

Page 47
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LABELL, STEVEN 04-60797 SD FL 5/24/2007 4b(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST OWED; STOPROHIBITIODESIGNATE

LABELL, STEVEN 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOOWED; CIV$525,000; DDESIGNATE

LAKE DOW CAPITAL, LLC a/k/a CLIFFORD, EDWARDS, AND TAYLOR

1 05-CV 2709 ND GA 11/8/2005 4o(1); 9a(4) 4.22(c) PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICAUTHORIZ

DISBURSE WEIZENEC$8,038 TO BTO LANDMLEGAL AND 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT I LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT II LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

Page 48
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT III LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT LIMITED a/k/a LAKE SHORE ALTERNATIVE FINANCIAL ASSET LTD.

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND II LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIO

RESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND III LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND IV LIMITED, CURRENTLY KNOWN AS GENEVA CORPORATION FUNDS WORLD LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

Page 49
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND IV US, LLC

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND I

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIO

RESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND LIMITED CLASS II

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND LIMITED CLASS III

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LAKE SHORE ASSET MANAGEMENT LIMITED

1:07-cv-03598 ND IL 8/28/2007 4b(a)(2)(i)-(iii); 

4o(1); 4n

1.31; 4.23; 4.33 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & RTRADING P

Page 50
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LAKE SHORE GROUP OF COMPANIES INC., LIMITED

1:07-cv-03598 ND IL 4/24/2008 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

DEFAULT OBOOKS & RSTOP SOLICPROHIBITIORESTITUTIOPENALTIES 

LANIER, RANDY STEVE 5:05-cv-516 WD OK 3/30/2006 4b(a)(2)(i)-(iii); 

4c(b)

33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATNFA DESIG

LAROCCA, ROBERT 04-80562 SD FL 1/12/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

STOP SOLICPROHIBITIOMONITOR; 

LARSON, KEVIN D. 06-01 CFTC 12/22/2005 4o(1)(B) COMMISSION ORDER CEASE & D

MONETARY JOINTLY OW

DAYS; ASSREGISTRATFROM TRACOMPLY W

LAUREN, LEA 05-61672 SD FL 7/16/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

LAVIN, JOSEPH CLARK a/k/a JOSEPH ICEVIC

2:07-cv-01185-RSL

WD WA 9/9/2008 4c(b) 1.1(b)(2); 32.9(a)-

(c)

PERMANENT INJUNCTION

RESTITUTIOOWED; CIV$11,612,538JUDGMENT SOLICITATSHALL COM

LAVIN, REBECCA 2:07-cv-01185-

RSL

WD WA 8/1/2007 COMPLAINT FILED

LAWLESS, JOHN D. 05-cv-5026 ND IL 9/29/2005 COMPLAINT FILEDLAWRENCE-BONFITTO TRADING COMPANY

08 C 0192 ND IL 1/9/2008 COMPLAINT FILED

Page 51
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LEE, DAVID 08 CIV 9962 SD NY 11/18/2008 COMPLAINT FILEDLEE, JOHN DANIEL 03-74206 ED MI 6/8/2005 4b(a)(i)-(iii); 

4o(1)(A)&(B); 4c(b); 4k(2)

33.10 RESTITUTIO

JUDGMENT MONETARY PROTECT BSOLICITAT

LEON, ADAM 1:05cv492 ED VA 11/1/2006 ORDER JOINT OWE

ALL OTHER ORDER SHAWRITTEN.

LERNER, ALAN 07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST TRADING PDESIGNATECOMPLY W

LEVY, JAY M. 05-80002 SD FL 5/19/2006 4c(b) 33.10 FINAL JUDGMENT RESTITUTIO

POST JUDGMONETARY POST JUDGASSETS; STPROHIBITIO

LIBERTY FINANCIAL TRADING CORPORATION, INC.

04-61235 SD FL 4/24/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOPRE & POST JOINTLY OWMONETARY POST JUDGWITHIN TETRADING PDESIGNATECOMPLY W

LIBERTY FINANCIAL TRADING CORPORATION, INC.

SD 08-02 CFTC 4/21/2008 ALJ INITIAL DECISION IB REGISTR

Page 52
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LIBERTY MUTUAL GROUP, INC. (THE)

07-21267 SD FL 12/4/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)&(c)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT TRADING PDESIGNATECOMPLY W

LIBERTY ONE ADVISORS, LLC 05-60928 SD FL 6/27/2006 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$20,514,361 $12,632,841 DAYS; STOPROHIBITIO

LIBERTY REAL ASSETS MANAGEMENT CORPORATION

04-61235 SD FL 4/24/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOPRE & POST JOINTLY OWMONETARY POST JUDGWITHIN TETRADING P

DESIGNATECOMPLY W

LIBERTY REAL ASSETS MANAGEMENT CORPORATION

SD 08-02 CFTC 4/21/2008 ALJ INITIAL DECISION IB REGISTR

LIGHTHOUSE CAPITAL MANAGEMENT, LLC

05-60928 SD FL 6/27/2006 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$20,514,361 $12,632,841 DAYS; STOPROHIBITIO

LINUXOR ASSET MANAGEMENT, LLC

05 CV 8091 SD NY 12/17/2008 4b(a)(2)(i)-(iii); 

4o(1)

4.7(b)(2)-(3); 4.20(b)-(c)

PERMANENT INJUNCTION

CIVIL MONPLUS POST OWED; STOPROHIBITIOREGISTRATSHALL COM

Page 53
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LISKIEWICZ, MICHAEL J. 06-04 CFTC 6/12/2006 4b(a)(a)(2)(i)-

(iii); 4o(1)(A)&(B); 4m(1)

4.20; 4.21 COMMISSION ORDER CEASE & D

MONETARY POST JUDGPROHIBITIOUNDERTAK

LJH GLOBAL INVESTMENTS, LLC

08-05 CFTC 2/14/2008 4n(3)&(4) 4.7(b)(3)(i); 

4.7(b)(3)(i)C); 4.7(b)(3)(ii)

COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

LOCHMANN, VICTOR 05-12 CFTC 8/29/2006 4b(a)(2)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY TRADING PWITH UNDEPREJUDICE ENTIRETY.

LONGBOAT GLOBAL FUNDS MANAGEMENT, LLC

C 05 02142 ND CAL 8/19/2005 4o(1)(A)&(B) PRELIMINARY 

INJUNCTION

FREEZE OF 

, BOOKS & R

STOP SOLICPROHIBITIOASSOCIATETEMPORAR

LONGHORN FINANCIAL ADVISORS, LLC.

1:04CV00911 MD NC 3/28/2006 4b(a)(2)(i)&(iii)

; 4o(1); 4k(3); 4m(1)

4.41(a); 4.31(a)&(b)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONSTOP SOLICPROHIBITIOMONITOR.

LOVE, CAROL J. a/k/a CAROL L. ZIMMERMAN

2:00CV00622 D UT 4/9/2007 4b(a)(i)-(iii); 

4o(1); 4m(1)

4.20(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED PLUINTEREST; SHALL COM

Page 54
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

LOVETT, BRETT E. individually and d/b/a NORTHWEST ASSET FUND

CV05-5074 CD CAL 11/20/2007 4b(a)(2)(i)-(iii) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OSOLICITATSHALL COMDAN DRISCMONITOR.

LU, HAO JAN CV03-8339 CD CAL 9/27/2007 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OJUDGMENT SOLICITAT

LUI, PAK TONG a/k/a PATRICK LUI

07-06 CFTC 4/25/2007 4c(a); 4m(1) 1.38(a) COMMISSION ORDER CEASE & D

MONETARY PAID WITHRESTITUTIO

APPLY FOR OF FOUR YUNDERTAK

MACHATA, ANDREW 06-08 CFTC 9/27/2006 4c(e) COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWUNDERTAK

MADDOX, HUGH J. 05-10 CFTC 6/9/2005 4b(a)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY PROHIBITEOWN ACCORESTITUTIODESIGNATECOMPLY W

Page 55
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MADISON DEAN & ASSOCIATES, INC.

03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

MADISON DEAN ASIA CORPORATION

03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY O

JUDGMENT RECORDS; PROHIBITIOPERMANEN

MADISON FOREX INTERNATIONAL, LLC

05-61672 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

MAGGIO, JAMES ANTHONY C 05 5766RJB WD WA 11/25/2005 COMPLAINT FILEDMAGNUM CAPITAL INVESTMENTS, LTD.

04CV1512 D NJ 6/28/2007 4b(a)(2)(i)-(iii); 

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

4.20(c); 4.21; 4.22; 4.30

PERMANENT INJUNCTION

JOINTLY OW$17,871,012MONETARY STOP SOLICPROHIBITIO

Page 56
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MAGNUM INVESTMENTS, LTD.

04CV1512 D NJ 6/28/2007 4b(a)(2)(i)-(iii); 

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

4.20(c); 4.21; 4.22; 4.30

PERMANENT INJUNCTION

JOINTLY OW$17,871,012MONETARY STOP SOLICPROHIBITIO

MAIN, BRIAN CV05 2660 CD CAL 4/25/2007 4o(1) 4.41(a) PERMANENT 

INJUNCTION

CIVIL MONSTOP SOLICPROHIBITIOUNDERTAK

MALCOLMSON; ERIC SCOTT 04-80862 SD FL 12/5/2005 4c(b) FINAL JUDGMENT CIVIL MON

RESTITUTIOOWED; STOPENDING MMOOT AND 

MALONEY, THOMAS 08-09 CFTC 4/8/2008 4b(a)(1)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY POST JUDG

WITHIN TETRADING PFOR REGISWITH UNDE

MAN FINANCIAL INC. 07-04 CFTC 2/20/2007 166.3 COMMISSION ORDER CEASE & D

MONETARY PAID WITHRESTITUTIOWITHIN TECOMPLY W

MANSUR CAPITAL CORPORATION

08-15 CFTC 9/23/2008 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

MARATHON PETROLEUM COMPANY LLC

07-09 CFTC 8/1/2007 6(c); 6(d); 

9(a)(2)

COMMISSION ORDER CEASE & D

MONETARY PAID WITHCOMPLY W

Page 57
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MARCHIANO, JOSEPH 1:05cv492 ED VA 11/1/2006 ORDER JOINT OWE

ALL OTHER ORDER SHAWRITTEN.

MARGOL, STEPHEN 1 03 CV-2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGSOLICITATNFA DESIG

MARINO, DANIEL E. 05 CIV 8374 SD NY 9/29/2005 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & R

MARQUIS FINANCIAL MANAGEMENT SYSTEMS, INC.

03-74206 ED MI 6/8/2005 4b(a)(i)-(iii); 

4o(1)(A)&(B); 4c(b); 4m(1); 4k(2)

33.1 DEFAULT ORDER RESTITUTIO

JUDGMENT MONETARY 

( ) JOINTLY OW

RECORDS; PROHIBITIO

MARQUIS GROUP, INC. (THE) 03-74206 ED MI 6/8/2005 4b(a)(i)-(iii); 

4o(1)(A)&(B); 4c(b); 4m(1); 4k(2)

33.1 DEFAULT ORDER RESTITUTIO

JUDGMENT MONETARY JOINTLY OWRECORDS; PROHIBITIO

MARTIN, ROBERT L. 05CV62-CVEFHM ND GA 5/25/2007 6(c); 6(d); 9(a)(2) PERMANENT INJUNCTION CIVIL MON

PLUS POST COMPLY W

MARUHA, ANDREI 04 CV 09029 SD NY 3/9/2007 4o(1); 4m(1) 4.20(b) PERMANENT 

INJUNCTION

DEFAULT ORECORDS; PROHIBITIOAND CIVIL $2,790,000 EPOST JUDG

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MATTHEWS, RICHARD 04 CV 2093 SD CAL 11/28/2006 4c(b) 1.1; 32.9; 32.11 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PROTECT BSOLICITAT

MBG GLOBAL, LLC 3:08-cv-445 WD NC 9/26/2008 COMPLAINT FILEDMCBRIDE, JAMES R. 06-01 CFTC 12/22/2005 4o(1)(B) COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWDAYS; ASSREGISTRATFROM TRACOMPLY W

MCCAFFERY, JACK 05-cv-5026 ND IL 9/29/2005 COMPLAINT FILEDMCCALL BUSINESS GROUP, LLC

3:08-cv-445 WD NC 9/26/2008 COMPLAINT FILED

MCCALL, RICHARD d/b/a MCCALL, RICHARD d/b/a 2:06-CV-00132 D NV 5/15/2007 4o(1)(A)&(B) 4.41(a) PERMANENT CIVIL MON

MASTERY GROUP INTERNATIONAL

2:06 CV 00132 D NV 5/15/2007 4o(1)(A)&(B) 4.41(a) PERMANENT

INJUNCTION

CIVIL MON

SHALL COM

MCDONALD, CHRISTOPHER 1:05-CV-0293 ND GA 11/17/2006 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONTO BE PAID PLUS POST 

MCKENNA, BRION SCOTT SD 05-03 CFTC 5/20/2005 COMMISSION ORDER AP REGISTR

COMPLY W

MCLAUGHLIN, SHAWN 05-D-178 D CO 3/13/2007 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONPLUS POST PROHIBITEREGISTRATUNDERTAK

MCMAHAN, ROCKLAND P. 08-07 CFTC 3/18/2008 COMPLAINT FILED

Page 59
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MEALING, RON 04 CIV 3 04 0898 MD TN 9/11/2008 4b(a) 1.1(b) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT TEN DAYS; OF $40,275 INTEREST; PROHIBITIOREGISTRATMONITOR.

MEIJER, RANDAL 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILEDMEISNER, MICHAEL A. 08-81044 SD FL 11/17/2008 4b(a)(2)(i)-(iii); 

4o(1)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICPROHIBITIO

MEISNER,, VICTORIA R. 08-81044 SD FL 11/17/2008 4b(a)(2)(i)-(iii); 

4o(1)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RSTOP SOLIC

PROHIBITIO

MENDEZ, ROXANA SOFIA LAO a/k/a ROXANA SOFIA LAO

05-61588 SD FL 10/16/2007 4c(b) 1.1(b)(1)&(3); 1a(4) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST WITHIN TESOLICITAT

MERCURY FINANCIAL PARTNERS, INC.

05-60328 SD FL 11/9/2005 4c(b) 32.9 PERMANENT 

INJUNCTION

DEFAULT O$148,756 PLJOINTLY OWPENALTY OORDER; STDESIGNATE

MERCURY MANAGEMENT, L.C.

05-60328 SD FL 8/18/2006 4c(b) 33.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY TRADING PDESIGNATECOMPLY W

Page 60
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MERCURY PARTNERS, INC. 05-60328 SD FL 7/1/2005 4c(b) 32.9 PERMANENT 

INJUNCTION

DEFAULT O$148,756 PLJOINTLY OWPENALTY OORDER; STPROHIBITIOMONITOR.

MERRILL LYNCH ALTERNATIVE INVESTMENTS, LLC

07-08 CFTC 7/31/2007 4.22(c) COMMISSION ORDER CEASE & D

MONETARY PAID WITHCOMPLY W

MERRILL LYNCH INVESTMENT MANAGERS, LLC

07-08 CFTC 7/31/2007 4.22(c) COMMISSION ORDER CEASE & D

MONETARY PAID WITHCOMPLY W

MESA, MICHAEL 06-20979 SD FL 4/18/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

MESTOLO, KARINA 04 CV 09029 SD NY 3/9/2007 PERMANENT 

INJUNCTION

DEFAULT OPENALTY OPROTECT B

METRO FINANCIALS 07 CV 2377 SD NY 8/1/2007 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$412,609.21 JUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

MG GLOBAL, INC. 08-02 CFTC 12/26/2007 4g 1.35(a-1)(1); 166.3 COMMISSION ORDER CEASE & D

MONETARY SHALL NOT SHALL COM

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MICHAEL EDWARDS TRADING GROUP, LTD.

03 CV 9126 SD NY 11/9/2006 ORDER DISGORGEM

MICHAEL SAVITSKY, INC. 05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

MIKLAS, MAROS 07-10 CFTC 3/20/2008 4b(a)(2)(i)&(iii) ALJ INITIAL DECISION DEFAULT O

PENALTY O$214,066.30PROHIBITIO

MILLAR, GLENN 09-03 CFTC 12/15/2008 4a(e) COMMISSION ORDER CEASE & D

MONETARY POST JUDGWITHIN TEUNDERTAK

MILLENIUM TRADING GROUP, INC.

2:07-cv-11626 ED MI 9/6/2007 4b(a)(2)(i)&(iii)

; 4c(b)

32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$501,516 PLINTEREST JMONETARY POST JUDGSOLICITATDAN DRISCMONITOR; UNDERTAK

MILLS, ADAM 04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

MIRONOV, ALEXEY SACV 03-1454-

JVS

CD CAL 9/28/2007; 

2/29/08

ORDER RESTITUTIO

MONETARY DETERMININJUNCTIOPENALTY O

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MISCHLER, JEFFREY A. 04-2181 WD TN 9/27/2007; 

10/18/07

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

INJUNCTION

DEFAULT O$917,700 JOMONETARY SOLICITATDAN DRISCMONITOR; ATTORNEYMODIFIED JOINTLY OW

MONI INC. CV05 2660 CD CAL 12/11/2006 PERMANENT 

INJUNCTION

DEFAULT O$127,407 PLINTEREST TSHALL COM

MOORE, COURTNEY CUBBISON

H-05-0332 SD TX 11/7/2007 6(c); 6(d); 

9(a)(2); 13(a)

PERMANENT INJUNCTION

CIVIL MONJOINTLY OWINTEREST.

MOORE, ROBERT 08 CIV 9962 SD NY 11/18/2008 COMPLAINT FILEDMOORE, STEVEN 03 CV 9125 SD NY 8/6/2008 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$447,314 PLINTEREST JITRADECUMONETARY POST JUDGBOOKS & RTRADING PFOR REGISAPPOINTED SHALL COM

Page 63
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

MOORE, STEVEN 03 CV 9129 SD NY 8/6/2008 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$970,573 PLINTEREST JITRADECUMONETARY POST JUDGBOOKS & RTRADING PFOR REGISAPPOINTED SHALL COM

MORGAN, MICHAEL 05-60328 SD FL 8/18/2006 4c(b) 33.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY TRADING PDESIGNATE

COMPLY W

MORRIS, ELLISON KENT 03-80032 SD FL 1/4/2005 CIVIL MON

$448,389.18

MOSLEY, CHARLES K. 08CV2410 ND IL 4/28/2008 COMPLAINT FILEDMUELLER, DAVID J. 05-09 CFTC 6/3/2005 4b(a)(2)(i)&(iii) 166.2 COMMISSION ORDER CEASE & D

MONETARY PERMANENTRADING; SUNDERTAK

MURRAY, COYT E. 04CV1512 D NJ 6/28/2007 4b(a)(2)(i)-(iii); 

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

4.20(c); 4.21; 4.22; 4.30

PERMANENT INJUNCTION

JOINTLY OW$17,871,012MONETARY DISGORGEMSOLICITAT

MUSOROFITI, DAWN CV 05 3917 ED NY 8/16/2005 COMPLAINT FILEDMUSOROFITI, GERALDINE CV 05 3917 ED NY 8/16/2005 COMPLAINT FILEDMW FIRST INC. 04 CIV 3 04 0898 MD TN 1/18/2008 ORDER CONSENT O

GRANTED.

MW FIRST TRUSTEES INC. 04 CIV 3 04 0898 MD TN 9/11/2008 PERMANENT 

INJUNCTION

SHALL DISGASSETS.

Page 64
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

NASS, VYACHESLAV 06 CV 1692 SD NY 12/18/2006 4(a); 

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

1.1(b)(1)&(3) PERMANENT 

INJUNCTION

DEFAULT ORESTITUTIOPOST JUDGMONETARY POST JUDGASSETS; PRRECORDS; SOLICITATSHALL COM

NATIONAL COMMODITIES CORPORATION, INC.

05 CV 5741 SD NY 2/27/2007 PERMANENT 

INJUNCTION

JOINT OWEJOINTLY OW

NATIONAL INVESTMENT CONSULTANTS, INC.

C 05 2641 ND CAL 12/19/2006 STIPULATE

ENTERED IORDER OF ENTIRE OU

BECOMES D

NATIONS INVESTMENTS, LLC 07-61058 SD FL 8/25/2008 4(f)(b); 9(a)(4) 1.17(a)(1)(i)(C); 

1.10(d)(1)(vi)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST COMPLY W

NEW WORLD TRADING, LLC 04-80562 SD FL 1/12/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED WITJUDGMENT PENALTY OJUDGMENT SOLICITATNFA DESIGCLOSED.

NEW WORLD TRADING, LLC SD 07-03 CFTC 10/12/2007 ALJ INITIAL DECISION IB REVOKE

Page 65
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

NEW YORK CAPITAL ASSETS, INC.

03 CV 9128 SD NY 11/7/2006 ORDER DISGORGEM

RESTITUTIOPOST JUDGOWED; CIV$240,000; PRSTOP SOLICPROHIBITIOPERMANEN

NEW YORK OPTIONS EXCHANGE

07 CV 2376 SD NY 7/23/2007 4(a); 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$5,340,645 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

NEW YORK PETROLEUM OPTION EXCHANGE

07 CV 2379 SD NY 8/1/2007 4(a); 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$4,085,880 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

NEXGEN SOFTWARE SYSTEMS, INC.

H-04 2947 SD TX 7/27/2006 4m(1) 4.10(f); 4.31 PERMANENT 

INJUNCTION

CIVIL MON

NEXT FINANCIAL SERVICES UNLIMITED, INC.

04-80562 SD FL 1/12/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOOWED WITJUDGMENT PENALTY OJUDGMENT SOLICITATNFA DESIGCLOSED.

Page 66
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

NEXT FINANCIAL SERVICES UNLIMITED, INC.

SD 07-03 CFTC 10/12/2007 ALJ INITIAL DECISION IB REVOKE

NOVAK, JOHN P. H-04 2947 SD TX 7/27/2006 4m(1) 4.10(f); 4.31 PERMANENT 

INJUNCTION

CIVIL MON

NRG ENERGY, INC. 04-cv-3090 D MN 2/13/2007 PERMANENT 

INJUNCTION

CIVIL MONPROTECT BSOLICITAT

NUTONE ASSET MANAGEMENT, LTD.

04 CV 09029 SD NY 3/9/2007 4o(1); 4m(1) 4.20(b) PERMANENT 

INJUNCTION

DEFAULT ORECORDS; PROHIBITIOAND CIVIL $2,790,000 EPOST JUDG

OAKMONT INTERNATIONAL LLC

05-61588 SD FL 1/30/2006 4c(b) 1.1(b)(1)&(2); 

32.9(a)&(c); 32.11(a)

PERMANENT INJUNCTION

DEFAULT O$9,555,041; 

( ) $240, 

000 JO

SOLICITATUNDERTAK

O'CONNOR, EDWARD 08 CIV 9962 SD NY 11/18/2008 COMPLAINT FILEDOMESTE, GEORGE 03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEM& POST JUDOWED; CIV$240,000 PLINTEREST; STOP SOLICPROHIBITIOPERMANEN

ONE WORLD CAPITAL GROUP, LLC

07C 7002 ND IL 2/7/2008 4f(a)&(b) 1.17(4); 1.18 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & R

OPTIONABLE INC. 08 CIV 9962 SD NY 11/18/2008 COMPLAINT FILEDOPTIVER HOLDING BV 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILEDOPTIVER U.S. LLC 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILEDOPTIVER VOF 08 CIV 6560 SD NY 7/24/2008 COMPLAINT FILED

Page 67
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ORION INTERNATIONAL, INC. CV 03 603 D OR 6/16/2006 4b(a); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$28,823,034 INTEREST; OF $86,469,INTEREST; RECORDS; PROHIBITIO

OTIS, FRANK 09-03 CFTC 12/15/2008 4a(e) COMMISSION ORDER CEASE & D

MONETARY POST JUDGWITHIN TEUNDERTAK

OUYANG, BEN CV 03-0833 CD CAL 3/11/2005 4b(a); 4b(a)(i)-

(iii)

PERMANENT INJUNCTION

RESTITUTIOMONETARY JOINTLY OWSERVICES, 

 

MONITOR.

OWEN, ROGER 1:04CV00911 MD NC 3/28/2006 4b(a)(2)(i)&(iii)

; 4o(1); 4k(3); 4m(1)

4.41(a); 4.31(a)&(b)

PERMANENT INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONSTOP SOLICPROHIBITIOMONITOR.

OWNBEY, CAMERON individually and d/b/a ULTIMUS AND FIRST NATIONAL INVESTMENTS

03 C 6592 ND IL 12/5/2006 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

RESTITUTIOMONETARY POST JUDGTRADING P

OWNBEY, CAMERON S. 01-18 CFTC 10/4/2005 COMMISSION ORDER CIVIL MON

THE REVOCTHREE-YEAORDER SANON 1/17/03 STAND.

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

OXFORD CAPITAL GROUP, LLC

03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

PACIFIC BEST GROUP, LTD. a/k/a PACIFIC BEST COMPANY LTD.

C 05 2641 ND CAL 12/19/2006 STIPULATE

ENTERED IORDER OF ENTIRE OUBECOMES D

PALMETTO STATE COMMODITIES, INC.

2:08-3297 D SC 9/29/2008 COMPLAINT FILED

PALOMINO CAPITAL MANAGEMENT

SD 05-04 CFTC 7/14/2005 COMMISSION ORDER CPO REGIS

PAPPALARDO, JOSEPH 05 CV 2181 SD NY 4/24/2007 PERMANENT 

INJUNCTION

RESTITUTIOOWED; DISMONETARY 

PARADIGM CAPITAL MANAGEMENT LLC

08-04 CFTC 2/14/2008 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

PARISH ECONOMICS, LLC 2:07-cv-01044 5/10/2007 4b(a)(2)(i)-

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

4.41(a); 4.20(a)&(b); 4.21

PRELIMINARY INJUNCTION

ACCESS BOOKS & RECORDS; STOP SOLICITATION; TRADING PROHIBITION.

PARISH, ALBERT E., JR. 2:07-cv-01044 D SC 5/10/2007 4b(a)(2)(i)-(iii); 

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

4.41(a); 4.20(a)&(b); 4.21

PRELIMINARY INJUNCTION

ACCESS BOSOLICITAT

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

PARKER, DAVID SACV 04-575 CD CAL 8/29/2005 4b(a)(2)(i)&(iii)

; 4k(2); 4m(1); 4o(1)(A)&(B)

4.41(a)(1)&(2) PERMANENT 

INJUNCTION

DEFAULT OTRADING PSOLICITAT$381,403.38 PENALTY OJUDGMENT WITHIN TE

PECK, CHRISTOPHER 05-61672 SD FL 7/16/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

PELUCHETTE, RICHARD 06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT PENALTY OJUDGMENT SOLICITAT

NFA DESIG

PENINGER, MICHAEL DERRICK individually and d/b/a COOPER RIVER GROUP

2:08-3297 D SC 9/29/2008 COMPLAINT FILED

PEREZ, ALVIN 08-11 CFTC 8/26/2008 9(f)(1) 1.59(d)(1)(ii) COMMISSION ORDER CEASE & D

TRADING PWITH UNDE

PERKINS, WILLIAM D. 1:06-cv-4674 D NJ 9/28/2006 COMPLAINT FILEDPERSISTENT EDGE MANAGEMENT LLC

08-16 CFTC 9/23/2008 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

PHILADELPHIA ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC

05 cv 2973 ED PA 8/13/2008 4b(a)(2)(i)-(iii); 

4c(b); 4o(1)(A)&(B)

33.10; 4.41(a)(1)&(2)

DEFAULT ORDER RESTITUTIO

POST JUDGOWED: CIV$8.8 MILLIOSOLICITATNFA DESIGCOMPLY W

PHILADELPHIA ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC

SD 08-05 CFTC 9/23/2008 STATUTORY 

DISQUALIFICATION FILED

PHOENIX DIVERSIFIED INVESTMENT CORPORATION, INC.

08-81044 SD FL 11/17/2008 4b(a)(2)(i)-(iii); 

4o(1)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RSTOP SOLICPROHIBITIO

PHOENIX FINANCIAL GROUP PHOENIX FINANCIAL GROUP 1:04CV00911 1:04CV00911 MD NC 3/28/2006 3/28/2006 4b(a)(2)(i)&(iii) 4b(a)(2)(i)&(iii) 4.41(a); PERMANENT RESTITUTIO

; 4o(1); 4k(3); 4m(1)

4.41(a);

4.31(a)&(b)

PERMANENT

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONSTOP SOLICPROHIBITIOMONITOR.

PIONEER FUTURES, INC. 07-05 CFTC 3/7/2007 4g 1.31; 1.35(a) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

PIPPIN, STUART individually and d/b/a PIPPIN INVESTMENTS

CV 05 4120 ED NY 4/26/2006 4b(a)(2)(C)(i)-

(iii); 4o(1)(A)&(B); 4m(1)

4.20 PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT PENALTY OJUDGMENT SOLICITATSHALL COM

Page 71
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

PLUNKETT, PAUL F. 05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

PLUNKETT, PAUL F. 05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

POOLE, JOHN a/k/a JAMES DREW, individually and d/b/a MAC SYSTEMS

1:05CV00859 MD NC 5/1/2006 4o(1)(A)&(B) 4.41(a)(1)&(2) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OJUDGMENT SOLICITAT

PRANOLO, ESTHER CV03-8339 CD CAL 11/29/2006 ORDER DISGORGEM

JUDGMENT 

PREMIU NCO M I ME 3-05 CV 0416M ND TX 1/26/2007 4c(b) 1.1(b); 32.9; 32.11 PERMANENT JOINT OWECORPORATION

3 05 CV 0 6 N / 6/ 007 c(b) . (b); 3 .9; 3 . N N

INJUNCTION

JO N OW PLUS POST OWED CIVI$37,122,312 INTEREST; & ACCESS SOLICITATKELLY CRARECEIVER.

PRESIDENTIAL FX, INC. 1:05cv492 ED VA 11/1/2006 ORDER JOINT OWE

ALL OTHER ORDER SHAWRITTEN.

PRIME TRADING COMPANY 4:04CV3184 D NE 12/17/2007 4b(a)(2)(i)&(iii)

; 4o(1); 4c(b)

166.2; 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOWITHIN 20 PENALTY OYEAR TRADREAPPLY FCOMMISSIO

PROFIT PARTNERS, INC. CV03-9190 CD CAL 4/11/2005 4o(1); 4m(1) 4.16; 4.41(a) PERMANENT 

INJUNCTION

CIVIL MONBE PAID WSOLICITAT

Page 72
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

PROFIT, JOSEPH T. II 1:07-CV-0274 ND GA 11/6/2007 4o(1); 9(a)(4) PERMANENT 

INJUNCTION

RESTITUTIOPENALTY TSOLICITAT

PROSPERITAS INTERNATIONAL CREDIT UNION

2:07-cv-01185-RSL

WD WA 7/25/2008 DEFAULT ORDER DISGORGEM

PROSPERITY CONSULTANTS, INC.

05-80592 SD FL 11/6/2006 4o(1); 6(c) 4.30 ORDER STOP SOLIC

PURSER, DONALD J. 2:00CV00622 D UT 4/9/2007 4b(a)(i)-(iii); 

4o(1); 4m(1)

4.20(a)&(c) PERMANENT 

INJUNCTION

CIVIL MONSHALL COM

QUALIFIED LEVERAGE PROVIDERS, INC.

05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

QUALIFIED LEVERAGE PROVIDERS, INC.

05-61672 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

QUESADA, BEATRIZ PERALTA a/k/a BEATRIZ PERALTA

05-61588 SD FL 10/16/2007 4c(b) 1.1(b)(1)&(3); 1a(4) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST WITHIN TESOLICITAT

R&W TECHNICAL SERVICES, LTD.

96-3 CFTC 6/24/2005 COMMISSION ORDER ORDER OF 

ISSUED.

RAMUNNO, ANTHONY MICHAEL, JR.

1:07-CV-0200 ND GA 3/14/2008 4b(A)(2)(i)-(iii); 

4o(1)(A)&(B)

PERMANENT INJUNCTION

CIVIL MONRESTITUTIOSOLICITATSHALL COM

RANCON CAPITOL MANAGEMENT CORPORATION

04 CV 09029 SD NY 3/9/2007 PERMANENT 

INJUNCTION

DEFAULT OPENALTY OPROTECT B

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

RASK, JAMES JOHN CV 06-162 D OR 2/23/2006 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGASSETS; PRRECORDS; SOLICITATSHALL COM

RAY, BRIAN W. 03-11 CFTC 8/25/2005 4(b)(a)(i)&(iii) ALJ INITIAL DECISION CEASE & D

MONETARY PERMANENREGISTRAT& DOE FILE 

RB&H FINANCIAL SERVICES, LP

01-18 CFTC 10/4/2005 COMMISSION ORDER CIVIL MON

C&D ORDE

1/17/03 IS A

REAGAN, GREGORY M. 96-3 CFTC 6/24/2005 COMMISSION ORDER ORDER OF 

ISSUED.

REED, MATTHEW 05-D-178 D CO 11/13/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONPLUS POST PAID WITHFOR REGIS

REMCO CAPITAL MANAGEMENT, INC.

04 CV 09029 SD NY 3/9/2007 4o(1); 4m(1) 4.20(b) PERMANENT 

INJUNCTION

DEFAULT ORECORDS; PROHIBITIOAND CIVIL $2,790,000 EPOST JUDG

RENAISSANCE ASSET MANAGEMENT, LLC

1:07-CV-0200 ND GA 2/27/2007 4B(A)(2)(i)-

(iii); 4o(1)(A)&(B)

PRELIMINARY INJUNCTION

FREEZE OF BOOKS & RTRADING P

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

REVERIE, LLC 04-2181 WD TN 9/27/2007 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

DEFAULT O$917,700 JOMONETARY SOLICITATDAN DRISCMONITOR; ATTORNEY

RG GROUP HOLDING LLC 05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

RIA RIVIERA, INC. CV05 2660 CD CAL 12/11/2006 PERMANENT 

INJUNCTION

DEFAULT O

$ , 81 820 PLUINTEREST TSHALL COM

RICHMOND FAIRFIELD ASSOCIATES, CERTIFIED PUBLIC ACCOUNTANTS PLLC

05 CIV 8374 SD NY 9/29/2005 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & R

RICHMOND GLOBAL ASSOCIATES LLC

05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

Page 75
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

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DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

RICHMOND GLOBAL DIRECTOR LLC

05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

RICHMOND GLOBAL LTD. 05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

RICHMOND GLOBAL MANAGED ACCOUNT LLC

05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O

$, , 1 788 580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

RICHMOND GLOBAL MCA LLC

05 CV 2181 SD NY 11/15/2007 4b(a)(2) PERMANENT 

INJUNCTION

DEFAULT O$1,788,580 PINTEREST JMONETARY MOSCOW ARECEIVER; UNDERTAK

RICHMOND ROYCE ADVISORY SERVICES, SLU a/k/a RICHMOND ROYCE INTERNATIONAL GROUP, LTD.

05-61588 SD FL 11/30/2006 4o(1)(A)&(B); 

4k(3); 4m(1)

4.41(a)(1)&(2); 4.41(b)(1)

PERMANENT INJUNCTION

DEFAULT O$9,555,041 APENALTY OOWED; STOPROHIBITIODESIGNATE

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

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DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

RICHMOND, ANDREW 05-M-668 D COL 3/20/2007 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONBE PAID WJUDGMENT PROHIBITIOREGISTRATUNDERTAK

RIPLEY, DAMON 03 CV 9128 SD NY 11/7/2006 ORDER DISGORGEM

RESTITUTIOPOST JUDGOWED; CIV$240,000; PRSTOP SOLICPROHIBITIOPERMANEN

RISK CAPITAL TRADING RISK CAPITAL TRADING 1 03 CV-2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT RESTITUTIO

GROUP

1 03 CV 2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT

INJUNCTION

RESTITUTIO

POST JUDGMONETARY POST JUDGSOLICITATNFA DESIG

RISK CAPITAL TRADING GROUP, INC.

SD 06-04 CFTC 12/20/2006 ALJ ORDER REGISTRAT

BROKER REDEFAULT E

ROANE, ROBERT LEE 08-03 CFTC 1/24/2008 4b(a)(2)(i)&(iii)

; 4o(1); 4m(1)

4.20(A)-(C); 4.21(a)

COMMISSION ORDER CEASE & D

MONETARY POST JUDGOF $609,116 INTEREST; REGISTRATPROHIBITIOUNDERTAK

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DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

RODRIGUEZ, LAZARO JOSE 06 CV 0855 SD NY 12/17/2007 4b(a)(2)(i)&(iii)

; 4c(b)

33.10(a)&(c) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OSOLICITATSHALL NOT SHALL COM

ROGERS, GERALD LEO a/k/a JAY ROGERS AND JAY RODGERS

3-05 CV 0416M ND TX 1/10/2008 4c(b) 1.1(b); 32.9; 32.11 PERMANENT 

INJUNCTION

DISGORGEMMONETARY FREEZE OF RECORDS; PROHIBITIOREGISTRATUNDERTAK

ROLANDO, DIEGO MARIANO a/k/a ROCLERMAN AND ROC AND d/b/a IA TRADING.COM INC.

3:08 CV 0064 D CT 12/10/2008 4b(a)(2)(i)-(iii); 

4c(b)

33.10(a)-(c) PERMANENT 

INJUNCTION

DEFAULT O$197,125.52OF $10 MILINTEREST; 

REGISTRAT

ROLLING MEADOW RANCH, INC.

06-08 CFTC 9/27/2006 4c(e) COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWUNDERTAK

ROMANO, LEE N., II 04-2181 WD TN 4/24/2007 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

DEFAULT O$125,000 PLINTEREST JMONETARY TRADING PDESIGNATECOMPLY W

Page 78
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ROMEO, TED 04-61235 SD FL 4/24/2007 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGWITHIN TEPENALTY OJUDGMENT TEN DAYS; PROHIBITIOMONITOR; UNDERTAK

ROSENTHAL COLLINS GROUP 07-02 CFTC 1/10/2007 4b 1.35(a)&(d)(5) COMMISSION ORDER CEASE & D

MONETARY PAID WITH

ROSENTHAL COLLINS GROUP, L.L.C.

08-12 CFTC 8/26/2008 166.3 COMMISSION ORDER CEASE & D

MONETARY POST JUDGWITHIN TEUNDERTAK

ROSS, ANDREW D. 05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

ROSS, MICHAEL 03 CV 9126 SD NY 8/6/2008 4b(a)(2) 1.1(b) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST SOLICITATMAY NOT A

ROSSI, ROBERT 99-4 CFTC 8/17/2005 4b(a)(i)-(iii); 

13(a)&(b); 2(a)(i)(A)(iii)

COMMISSION ORDER CEASE & D

MONETARY TRADING P$276,557.

ROTMISTRENKO, UDO SD 04-05 CFTC 3/18/2005 ALJ ORDER UNOPPOSE

GRANTED; COMMODITASSOCIATE

ROTMISTRENKO, UDO SD 07-05 CFTC 7/30/2007 STATUTORY 

DISQUALIFICATION

Page 79
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

ROUMIANTSEUA, NATALIA 03 CV 9124 SD NY 11/7/2006 ORDER DISGORGEMROYAL BERG, INC. 05-07 CFTC 1/18/2005 4.36 COMMISSION ORDER CEASE & D

MONETARY PAID WITH

RUSFELDT INVESTMENTS LLP d/b/a CURRENCY TRADING MADE EASY

07-130 SD TX 3/27/2008 4b(a)(2)(i)&(iii) 1.1(b)(1)-(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATMAY NOT ANFA DESIGCOMPLY W

RUSFELDT, ADEN 07-130 SD TX 3/27/2008 4b(a)(2)(i)&(iii) 1.1(b)(1)-(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT 

CIVIL MONPLUS POST SOLICITATMAY NOT ANFA DESIGCOMPLY W

RUSSO, JAMES JOSEPH 04-80862 SD FL 12/5/2005 4c(b) FINAL JUDGMENT CIVIL MON

RESTITUTIOOWED; STOPENDING MMOOT AND 

SABERI, ANDY 01-11 CFTC 3/2/2005 4a(e) COMMISSION ORDER CEASE & D

MONETARY DAY TRADSHALL BECDAY FOLLOSERVED.

Page 80
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SAFEGUARD FX, LLC 05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

SAFEVEST LLC SACV08-00474 CD CAL 5/1/2008 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RTHOMAS ATEMPORAR

SALINAS, MATTHEW 03 CV 9128 SD NY 11/6/2006 4b(a)(2) 1.1(b) PERMANENT 

INJUNCTION

DISGORGEMPOST JUDGMONETARY POST JUDGSOLICITATALL PRIOR BRIAN ROS

EQUITY RE

SAPIENZA, EDWARD JR. 03 CV 9126 SD NY 3/26/2008 4b(a)(2) 1.1(b) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST SOLICITAT

SARVEY, EDWARD C. 08 C 0192 ND IL 1/9/2008 COMPLAINT FILEDSAUME, CARLOS ALEJANDRO LIBERA

05-61903 SD FL 11/15/2006 4b(a)(2): 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$5,799,719.4$5,799,719.4OF $16,396,BOOKS & RTRADING P

SAVITSKY, MICHAEL 04-60744 SD FL 5/22/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITAT

Page 81
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SAVITSKY, MICHAEL H., III 05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

SCHIAVONE, FRANK 03 CV 9126 SD NY 3/24/2008 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT O$96,094 PLUINTEREST; PLUS PRE & JOINTLY OWPENALTY OJUDGMENT RECORDS; SOLICITATMAY NOT APARTIAL A

SCHIERA, MONICA SUE a/k/a MONICA SCHIERA-MAIN AND MONICA S. MONTES

CV05 2660 CD CAL 4/25/2007 4o(1) 4.41(a) PERMANENT 

INJUNCTION

CIVIL MONMILLION; SPROHIBITIOUNDERTAK

SCHIRCK, JOHN 04 CIV 3 04 0898 MD TN 1/18/2008 ORDER CONSENT O

GRANTED.

SCHMIDT, STEPHEN A. CV 04 3081 ED NY 9/6/2006 PERMANENT 

INJUNCTION

DISGORGEMMONETARY JOINTLY OWTRADING PDESIGNATE

SCHOLZE, GARY F. 2:06-CV-114 D VT 9/11/2008 4b(a)(i)-(iii); 

4c(b); 4o(1)(A)&(B); 4m(1)

33.10; 4.20(a)(&(b); 4.21; 4.30; 4.31

PERMANENT INJUNCTION

CIVIL MONSTOP SOLICPROHIBITIOREGISTRAT

Page 82
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SCHOTZ, BARRY 04-08889 CD CAL 6/16/2005 4b(a)(2)(i)-(iii); 

4o(1)(A)&(B); 4m(1); 4n(4)

4.20(c); 4.21; 4.22 PERMANENT 

INJUNCTION

RESTITUTIOPREJUDGMAMOUNT OJUDGMENT PENALTY OJUDGMENT ASSETS; STPROHIBITIOUNDERTAK

SCHROEDER, STEVEN G. 1:06CV0705 WD MI 10/6/2006 4b(a)(2)(i)-(iii); 

4o(1); 4m(1)

4.31 PERMANENT 

INJUNCTION

PROTECT & ACCOUNT PROHIBITIOUNDERTAK

SCHWARTZ, STUART 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY DRISCOLL MONITOR.

SEIGLER, WILLIAM DAVID, JR. 05-60342 SD FL 3/30/2006 4c(b) 32.11(a) PERMANENT 

INJUNCTION

DEFAULT OPENALTY O

SEMPRA ENERGY TRADING LLC fna SEMPRA ENERGY TRADING CORP.

08-14 CFTC 9/4/2008 1.35(d) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

SENTINEL MANAGEMENT GROUP, INC.

08CV2410 ND IL 4/28/2008 COMPLAINT FILED

SHAH, ABBAS A. 05 CV 8091 SD NY 12/17/2008 4b(a)(2)(i)-(iii); 

4o(1)

4.7(b)(2)-(3); 4.20(b)-(c)

PERMANENT INJUNCTION

CIVIL MONPLUS POST OWED; STOPROHIBITIOREGISTRATSHALL COM

Page 83
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SHERMAN COUNTY BANK 4:04CV3184 D NE 12/17/2007 PERMANENT 

INJUNCTION

RESTITUTIOWITHIN 20 PENALTY OSHALL NOT ENTITY THCOMMISSIOTRADING OOTHERS FO

SHERMAN COUNTY MANAGEMENT, INC.

4:04CV3184 D NE 12/17/2007 PERMANENT 

INJUNCTION

RESTITUTIOWITHIN 20 PENALTY OSHALL NOT IN ANY ENCOMMODIT

SHEVCHENKO, ALEXANDER SHEVCHENKO, ALEXANDER 3-05 CV 0416M ND TX 3/2/2005 STATUTORY FREEZE OF 

IGOR

3 05 CV 0416M ND TX 3/2/2005 STATUTORY

RESTRAINING ORDER

FREEZE OF 

BOOKS & RKELLY CRATEMPORARWITH UNDE

SHIMER, ROBERT W. 04CV1512 D NJ 6/4/2008 PERMANENT 

INJUNCTION

DISGORGEMMONETARY RESTITUTIOOWED.

SHUSTER, SHUSTER, AND SHUSTER, LTD.

03 4999 ED NY 8/29/2006 DEFAULT ORDER DISGORGEM

& POST JUDASSETS; PRRECORDS.

SHUSTER, SHUSTER, AND SHUSTER, LTD.

03 CV 9126 SD NY 11/9/2006 ORDER DISGORGEM

SIBBITT, MARY JO 04-2181 WD TN 9/27/2007 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

DEFAULT O$917,700 JOMONETARY SOLICITATDAN DRISCMONITOR; ATTORNEY

Page 84
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SIEGEL, RICK 1 03 CV-2633 ND GA 1/3/2007 ORDER AMENDED 

MONETARY $150,000 TO RESTITUTIO8/14/06 IS D

SILBERSTEIN, ANDREW M. 1:04-cv-666 D MD 2/28/2005 4b(a)(i)-(iii); 

4m(1); 4o(1)(A)&(B)

4.20(a)&)b; 4.21 PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGBOOKS & RPROHIBITIO

SKIBO ASSET MANAGEMENT, LLC

SD 08-03 CFTC 7/30/2008 STATUTORY 

DISQUALIFICATION

SKLENA, DAVID G. 08 C 0192 ND IL 1/9/2008 COMPLAINT FILEDSLYE, JOHN V., JR. SACV08-00474 CD CAL 5/1/2008 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RTHOMAS ATEMPORAR

SMITHERS, CHRISTOPHER 05-80592 SD FL 11/6/2006 4o(1); 6(c) 4.30 ORDER STOP SOLICSMITHERS, JACK 05-80592 SD FL 11/6/2006 4o(1); 6(c) 4.30 ORDER STOP SOLICSNELLGROVE, BARBARA 3:07CV152 ED VA 3/31/2008 4f(b); 4f(a)(1) 1.17; 1.18 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST OWED; MAREGISTRATYEARS; SHUNDERTAK

SNELLGROVE, DONALD 3:07CV152 ED VA 3/31/2008 4f(b); 4f(a)(1) 1.17; 1.18 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST OWED; MAREGISTRATYEARS; SHUNDERTAK

Page 85
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SNYDER, WILLIAM CV-N-06-512 D NV 12/10/2008 4b(a)(2)(i)-(iii); 

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

4.41(a); 4.20(a)&(c); 4.21

PERMANENT INJUNCTION

RESTITUTIOPLUS POST MONETARY SOLICITATMAY NOT ANFA DESIGCOMPLY W

SOFIA, JOEL 03-74206 ED MI 6/21/2005 4k(2) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PROTECT BSOLICITAT

SONOMA TRADING CORPORATION

05-60342 SD FL 3/30/2006 4c(b) 32.11(a) PERMANENT 

INJUNCTION

DEFAULT OPENALTY O

SOUTH CHINA INVESTMENTS, INC.

C 05 2641 ND CAL 6/29/2005 EX PARTE 

STATUTORY 

FREEZE OF BOOKS & R

RESTRAINING ORDER

SOUTH COAST COMMODITIES 04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOOWED; CIV$3,500,000; DESIGNATE

SOUTH COAST COMMODITIES, INC.

SD 07-01 CFTC 2/9/2007 ALJ INITIAL DECISION REGISTRAT

BROKER RE

SPIVAK, GENNADY a/k/a GEORGE SPIVAK

03-80032 SD FL 1/4/2005 CIVIL MON

$1,361,700.0

SPRING MOUNTAIN CAPITAL G.P., LLC

09-06 CFTC 1/8/2009 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

SPRING MOUNTAIN CAPITAL, LP

09-06 CFTC 1/8/2009 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

Page 86
PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

STANTON, CEDRIC R. 2:07-cv-11626 ED MI 9/6/2007 4b(a)(2)(i)&(iii)

; 4c(b)

32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$501,516 PLINTEREST JMONETARY POST JUDGSOLICITATDAN DRISCMONITOR; UNDERTAK

STAR CONNECTION, INC. 04 CIV 3 04 0898 MD TN 2/12/2008 PERMANENT 

INJUNCTION

DEFAULT O$658,000 PLINTEREST; MONITOR.

STARYK, MICHAEL 06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT PENALTY OJUDGMENT 

SOLICITATNFA DESIG

STATES, PAUL 08-22027-CIV SD FL 7/14/2008 COMPLAINT FILEDSTATES, ROBIN (a/k/a GREGORY HAMPTON d/b/a INFINITY ONLINE INVESTORS GROUP

08-22027-CIV SD FL 7/14/2008 COMPLAINT FILED

STEELE, KEVIN 05C 3130 ND IL 11/22/2005 4b(a)(2)(i)-(iii); 

4o(1); 1a(29)

PERMANENT INJUNCTION

DEFAULT OTRADING P$7,409,194.7PLUS PRE-JMONETARY 

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

STERN, ANDREW 05-21571 SD FL 4/11/2008 4c(b) 32.9; 32.11(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST SOLICITATNFA DESIGCOMPLY W

STEVENS, DOUGLAS C 03-1379VRW ND CAL 6/17/2005 4(a); 4b(a)(2)(i)-

(iii)

1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT AND POST OWED; CIV$3,191,597.4INTEREST JDESIGNATEFREEZE LIF

STILLWATER CAPITAL PARTNERS, INC.

08-17 CFTC 9/23/2008 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

CIVIL MONTO BE PAID COMPLY W

STILLWATER CAPITAL PARTNERS, LLC

08-17 CFTC 9/23/2008 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

CIVIL MONTO BE PAID COMPLY W

STRATFORD ADVISORY SERVICES

05-61588 SD FL 11/30/2006 4o(1)(A)&(B); 

4k(3); 4m(1)

4.41(a)(1)&(2); 4.41(b)(1)

PERMANENT INJUNCTION

DEFAULT O$9,555,041 APENALTY OOWED; STOPROHIBITIODESIGNATE

SUCARATO, ROBERT J. d/b/a NEW YORK FINANCIAL COMPANY

08-1932 (JBS) D NJ 4/22/2008 STATUTORY 

RESTRAINING ORDER

FREEZE OF BOOKS & R

Page 88
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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

SUCCESS DIRECT CV05 2660 CD CAL 12/11/2006 PERMANENT 

INJUNCTION

DEFAULT O$70,165 PLUINTEREST TSHALL COM

SUPAMA INTERNATIONAL DMCC

07 Civ 2770 SD NY 1/8/2008 4c(a) 1.38(a) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST COMPLY W

SUTHERLAND GROUP, INC. SD 08-03 CFTC 7/30/2008 STATUTORY 

DISQUALIFICATION

TAHOE FUTURES 07 CV 2376 SD NY 7/23/2007 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$5,340,645 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; 

UNDERTAK

TAMB INTERNATIONAL, INC. CV 03 0177 ED NY 5/5/2006 PERMANENT 

INJUNCTION

DEFAULT OPENALTY O

TAMBIEV, RUSSELL a/k/a ROUSIAN OR RUSSIAN TAMBIEV AND RUSSELL TAMB

CV 03 0177 ED NY 5/5/2006 PERMANENT 

INJUNCTION

DEFAULT OPENALTY O

TAX ACCOUNTING OFFICE, INC.

1:06-cv-4674 D NJ 9/28/2006 COMPLAINT FILED

TECH TRADERS, INC. 04CV1512 D NJ 6/28/2007 4b(a)(2)(i)-(iii); 

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

4.20(c); 4.21; 4.22; 4.30

PERMANENT INJUNCTION

JOINTLY OW$17,871,012MONETARY STOP SOLICPROHIBITIO

TECH TRADERS, LTD. 04CV1512 D NJ 6/28/2007 4b(a)(2)(i)-(iii); 

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

4.20(c); 4.21; 4.22; 4.30

PERMANENT INJUNCTION

JOINTLY OW$17,871,012MONETARY STOP SOLICPROHIBITIO

THE BLOOMING VILLAGE FLORIST, INC.

2:08-3297 D SC 9/29/2008 COMPLAINT FILED

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PROCEEDINGS BULLETIN SUPPLEMENT 

JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

THIRTEEN THIRTY-TWO, INC. d/b/a MRTS ASSET MANAGEMENT

SACV 08-1352 CD CAL 12/1/2008 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & R

TILLMAN, RICHARD 1 03 CV-2633 ND GA 7/13/2006 4c(b) 33.10(a) & (c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGSOLICITATNFA DESIG

TRACY, JOHN H-05-0332 SD TX 11/7/2007 6(c); 6(d); 

9(a)(2); 13(a)

PERMANENT INJUNCTION

CIVIL MONJOINTLY OWINTEREST.

TRADE EXCHANGE NETWORK

05-14 CFTC 9/29/2005 4c(b) 32.11 COMMISSION ORDER CEASE & D

MONETARY TEN DAYS; UNDERTAK

TRADE PRO, INC. CV05 2660 CD CAL 12/11/2006 4o(1) 4.41(a) PERMANENT 

INJUNCTION

DEFAULT OOF $3,000,0JUDGMENT MONETARY JOINTLY OWTRADING PWITH UNDE

TRADE RISK MANAGEMENT, LLC (OR)

C 05 5766RJB WD WA 11/25/2005 COMPLAINT FILED

TRADE RISK MANAGEMENT, LLC (WA)

C 05 5766RJB WD WA 11/25/2005 COMPLAINT FILED

TRADEWINDS INTERNATIONAL, LLC

04C 5723 ND IL 2/9/2006 4b(a)(i)-(iii); 

4c(b); 4o(1); 4k(2); 4m(1)

33.10 PERMANENT 

INJUNCTION

PROTECT BSOLICITATRESTITUTIOJUDGMENT CIVIL MONPLUS POST OWED.

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

TRADEWINS PUBLISHING, CORP.

CV 04 3081 ED NY 9/6/2006 PERMANENT 

INJUNCTION

DISGORGEMMONETARY JOINTLY OWTRADING PDESIGNATE

TREMBLAY, RYAN 08-13 CFTC 8/28/2008 4b(a)(1)(i)&(iii) COMMISSION ORDER CEASE & D

MONETARY POST JUDGWITHIN 30 PROHIBITIOUNDERTAK

TRI LYNX CV05 2660 CD CAL 12/11/2006 PERMANENT 

INJUNCTION

DEFAULT O$169,868 PLINTEREST TSHALL COM

TRI-FOREX INTERNATIONAL, LTD. a/k/a TRI-FOREX LTD. and INTERNATIONAL FOREX COMPANY

3-05 CV 0416M ND TX 1/26/2007 4c(b) 1.1(b); 32.9; 32.11 PERMANENT 

INJUNCTION

JOINT OWEPLUS POST OWED CIVI$37,122,312 INTEREST; & ACCESS SOLICITATKELLY CRARECEIVER.

TSE, WEI M. a/k/a RAYMOND TSE

C 05 2641 ND CAL 12/19/2006 STIPULATE

ENTERED IORDER OF ENTIRE OUBECOMES D

TSUNAMI CAPITAL, LLC 07C 2256 ND IL 4/26/2007 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RSHALL COM

Page 91
PROCEEDINGS BULLETIN SUPPLEMENT 

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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

TUCELLI, PHILLIP 06-80362-CIVHURLEY D NH 10/27/2007 4c(b) 33.10; 166.3 PERMANENT INJUNCTION RESTITUTIO

JUDGMENT CROMWELOF $250,000 INTEREST; PROHIBITIOMONITOR.

TURNER, RONALD 05 CV 2181 SD NY 4/24/2007 PERMANENT 

INJUNCTION

RESTITUTIOOWED; DISCIVIL MON

TYRONE "CAUZAE" MCCALL 3:08-cv-445 WD NC 9/26/2008 COMPLAINT FILEDU.S. CAPITAL MANAGEMENT, INC.

05-60928 SD FL 6/27/2006 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$20,514,361 $12,632,841 DAYS; 

 STO

PROHIBITIO

UBS FUND ADVISOR, LLCC 09-07 CFTC 1/8/2009 4.7(b)(3)(i) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

UFOREX CONSULTING, LLC a/k/a UFOREX, LLC a/k/a UFOREXIA, LTD.

6:07-CV-0046 WD LA 1/9/2007 STATUTORY 

RESTRAINING ORDER

FREEZE OF BOOKS & R

UNITED EQUITY GROUP, INC. 05-60928 SD FL 6/27/2006 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$20,514,361 $12,632,841 DAYS; STOPROHIBITIO

UNITED INVESTORS GROUP, INC.

05-80002 SD FL 6/6/2006 4c(b) 33.10 PERMANENT 

INJUNCTION

RESTITUTIOMONETARY EACH JOINSOLICITAT

UNITED INVESTORS GROUP, INC.

SD 06-02 CFTC 12/20/2006 ALJ ORDER REGISTRAT

BROKER REDEFAULT E

Page 92
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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

UNIVERSAL FINANCIAL HOLDING CORPORATION

04CV3641 ED PA 9/22/2006 PERMANENT 

INJUNCTION

RESTITUTIOOWED; DAN DESIGNATE

UNIVERSAL OPTIONS, INC. 05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

VALENTIN, JUAN 1 03 CV-2633 ND GA 6/29/2006 4c(b) 33.10(a) & (c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGSOLICITATNFA DESIG

VALKO, DOREEN ROSE 06-60001 SD FL 9/9/2008 4c(b) 1.1(b)(1)&(3); 

32.9(a)-(c); 32.11

PERMANENT INJUNCTION

RESTITUTIO

( ) ( ); JUDGMENT 

CIVIL MONPLUS POST SOLICITATMAY NOT ASHALL COM

VALKO, JOSEPH 06-60001 SD FL 1/31/2006 EX PARTE 

STATUTORY RESTRAINING ORDER

FREEZE OF BOOKS & RGERALD B. TEMPORAR

VALKO, JOSEPH D. a/k/a JOE VALKO AND JOE VALKO, SR.

05-60928 SD FL 7/13/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY SOLICITATDAN DRISCMONITOR.

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RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

VANDEVELD, GORDON J. 04-2181 WD TN 9/27/2007 4b(a)(i)&(iii) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY POST JUDGSOLICITATDAN DRISCMONITOR; 

VANGUARD FINANCIAL MANAGEMENT ASSOCIATION a/k/a VANGUARD FINANCIAL MANAGEMENT FOUNDATION

SACV 04-575 CD CAL 8/29/2005 4b(a)(2)(i)&(iii)

; 4k(2); 4m(1); 4o(1)(A)&(B)

4.41(a)(1)&(2) PERMANENT 

INJUNCTION

DEFAULT OTRADING PSOLICITAT$381,403.38 PENALTY OJUDGMENT WITHIN TE

VELAZQUEZ, EDWARD 04C 5853 ND IL 1/31/2008 4b(a)(2)(i)&(iii)

; 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIO

; ( )( ) ( ) MONETARY 

PLUS POST JOINTLY OWTRADING PDESIGNATECOMPLY W

VERAS INVESTMENT PARTNERS, LLC

06-01 CFTC 12/22/2005 4o(1)(B) COMMISSION ORDER CEASE & D

MONETARY JOINTLY OWDAYS; COMCOMMODITREGISTRATCOMPLY W

VICTCO FINANCIAL SERVICES, INC.

CV 03-0833 CD CAL 3/11/2005 4b(a); 4b(a)(i)-

(iii)

PERMANENT INJUNCTION

RESTITUTIOMONETARY JOINTLY OWDESIGNATE

VINOKUR, MIRON 05 CV 2181 SD NY 4/24/2007 PERMANENT 

INJUNCTION

RESTITUTIODISGORGEMMONETARY 

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

VITOL CAPITAL MANAGEMENT

07 CV 2378 SD NY 7/23/2007 4c(b) 32.9(a) PERMANENT 

INJUNCTION

DEFAULT O$3,995,823 JJUDGMENT PENALTY OSTOP SOLICPROHIBITIOMONITOR; UNDERTAK

VOLF, LAWRENCE JOSEPH 4:04CV3184 D NE 12/17/2007 4b(a)(2)(i)&(iii)

; 4o(1); 4c(b)

166.2; 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOWITHIN 20 PENALTY OYEAR TRADREAPPLY FCOMMISSIO

V-TEK CAPITAL, INC. (BVI) 04C 5853 ND IL 1/31/2008 4b(a)(2)(i)&(iii)

; 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIO

; ( )( ) ( ) MONETARY 

PLUS POST JOINTLY OWTRADING PDESIGNATECOMPLY W

V-TEK CAPITAL, INC. (IL) 04C 5853 ND IL 1/31/2008 4b(a)(2)(i)&(iii)

; 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PLUS POST JOINTLY OWTRADING PDESIGNATECOMPLY W

V-TEK TRADING GROUP, INC. 04C 5853 ND IL 1/31/2008 4b(a)(2)(i)&(iii)

; 4o(1)(A)&(B)

4.20(c) PERMANENT 

INJUNCTION

RESTITUTIOMONETARY PLUS POST JOINTLY OWTRADING PDESIGNATECOMPLY W

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

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DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WALL STREET UNDERGROUND, INC.

03-2193 D KS 7/11/2006 4o(1) 4.41(a) PERMANENT 

INJUNCTION

DEFAULT O$2,374,582 APENALTY OOWED; TRA

WALSH, JOHN EDWARD 07C 7002 ND IL 2/7/2008 4f(a)&(b) 1.17(4); 1.18 PRELIMINARY 

INJUNCTION

FREEZE OF BOOKS & R

WALTER, SCOTT LEV & ASSOCIATES, LLC

03 CV 9126 SD NY 8/6/2008 4b(a)(2) 1.1(b) PERMANENT 

INJUNCTION

DISGORGEM& POST JUDOWED; RESPRE & POST YAMPOLSKAND KOROPENALTY OJUDGMENT RECORDS; PROHIBITIO

REGISTRATAPPOINTED 

WARENHANDELSGESELLSCHAFT CORINTH, m.b.H

05-11 CFTC 6/21/2005 4c(a) 1.39(a) COMMISSION ORDER CEASE & D

MONETARY PAID WITHWITH UNDE

WEATHERFORD, JAMES an individual d/b/a MANAGEDMINI.COM

CV04-4079 CD CAL 4/26/2005 4b(a)(i)&(iii); 

4o(1)(A)&(B); 4m(1)

4.41(a) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST TRADING PWITH UNDE

WEB FULFILLMENT CENTRE, INC.

03-2193 D KS 6/19/2007 ORDER ORDER REL

ENTERED; TRANSFERCONSIDERECIVIL MON

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WEBMAN, LARRY M. 05 CV 4819 SD NY 7/10/2006 4c(h); 4c(b) 1.1(b); 32.9 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST RESTITUTIOPLUS PRE JNOT TRANSOLICITATNFA DESIG

WEBMAN, MELVIN H. 05 CV 4819 SD NY 7/10/2006 4c(h); 4c(b) 1.1(b); 32.9 PERMANENT 

INJUNCTION

CIVIL MONPLUS POST RESTITUTIOPLUS PRE JNOT TRANSOLICITATNFA DESIG

WEINER, LESLIE 04-61235 SD FL 1/8/2008 4c(b) 33.10(a)&(c) PERMANENT 

INJUNCTION

RESTITUTIOPOST JUDGMONETARY JUDGMENT TEN DAYS; PROHIBITIOMONITOR; UNDERTAK

WEISS, JAMES I. 04 cv 45 (FSH) D NJ 1/17/2005 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT MONETARY JOINTLY OWTRADING PDESIGNATE

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WEXLER, LYLE 05 CV 4819 SD NY 4/10/2007 4c(b) 1.1(b); 32.9 PERMANENT 

INJUNCTION

CIVIL MONAND RESTIJUDGMENT PROTECT BSOLICITATNFA DESIG

WHALEN, MICHAEL 1:05-CV-0293 ND GA 11/17/2006 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONTO BE PAID PLUS POST 

WHITE PINE TRUST CORPORATION

04 CV 2093 SD CAL 4/20/2007 PERMANENT 

INJUNCTION

DEFAULT O$14,857,546PENALTY OCOMPLY W

WHITELY, DEANA 04 CIV 3 04 0898 MD TN 2/12/2008 PERMANENT 

INJUNCTION

DEFAULT O

$ , 245 424.42 INTEREST; MONITOR.

WHITNEY, MICHAEL H 05-333 SD TX 3/5/2008 6(c); 6(d); 

9(a)(2)

PERMANENT INJUNCTION

CIVIL MONPLUS POST NOT APPLY PERIOD OF 

WILLIAM, HOLBROOK & ASSOCIATES, LLC

03 CV 9128 SD NY 3/26/2007 PERMANENT 

INJUNCTION

DEFAULT O$12,059,480 DISGORGEMPRE & POST JOINTLY OWPENALTY OJUDGMENT RECORDS; PROHIBITIOPERMANEN

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DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WILSHIRE INVESTMENT MANAGEMENT CORPORATION

04-80862 SD FL 12/5/2005 4c(b) FINAL JUDGMENT CIVIL MON

RESTITUTIOOWED; STOPENDING MMOOT AND 

WILSHIRE INVESTMENT MANAGEMENT CORPORATION

SD 06-06 CFTC 2/13/2007 ALJ INITIAL DECISION REGISTRAT

BROKER RE

WILSHIRE, ANDREW ALAN 04-80862 SD FL 12/5/2005 4c(b) FINAL JUDGMENT CIVIL MON

RESTITUTIOOWED; STOPENDING MMOOT AND 

WILSON, CHRISTI CV-N-06-512 D NV 12/10/2008 4b(a)(2)(i)-(iii); 

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

4.41(a); 4.20(a)&(c); 4.21

PERMANENT INJUNCTION

DISGORGEMJUDGMENT 

( ) SOLICITAT

MAY NOT ANFA DESIGCOMPLY W

WINDSOR FOREX TRADING CORP.

CV 05 2547 ED NY 3/23/2006 4b(a)(2)(i)&(iii) PERMANENT 

INJUNCTION

DEFAULT O$266,767.88 INTEREST; OF $266,767INTEREST; STOP SOLICPROHIBITIO

WINN INDUSTRIES DIVISION OF ONTARIO LIMITED OR 1430214 ONTARIO, LIMITED

03 CV 9126 SD NY 11/9/2006 ORDER DISGORGEM

WNUKOWSKI, LESLIE JEAN SD 05-01 CFTC 5/3/2006 COMMISSION ORDER COMMISSIO

DECISION; COMMODITCOMMODITASSOCIATE

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WONG, THERESA C. C 05 2641 ND CAL 9/1/2006 4b(i)&(iii); 4(a) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOOWED; DISSOLICITATNFA DESIGCOMPLY W

WORLD MARKET ADVISORS, INC.

05-60928 SD FL 6/27/2006 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$20,514,361 $12,632,841 DAYS; STOPROHIBITIO

WORLDWIDE CLEARING LLC 2:07-cv-11626 ED MI 9/6/2007 4b(a)(2)(i)&(iii)

; 4c(b)

32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$501,516 PLINTEREST JMONETARY POST JUDGSOLICITATDAN DRISC

MONITOR; UNDERTAK

WORLDWIDE CLEARING LLC SD 08-01 CFTC 3/20/2008 ALJ INITIAL DECISION DEFAULT O

REVOKED; COMMISSIO

WORLDWIDE COMMODITY CORPORATION

04CV3641 ED PA 9/19/2006 PERMANENT 

INJUNCTION

RESTITUTIOOWED; CIV$3,500,000; DESIGNATE

WORLDWIDE COMMODITY CORPORATION

SD 07-02 CFTC 2/8/2007 ALJ INITIAL DECISION REGISTRAT

BROKER RE

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

WORLDWIDE CURRENCIES CORP.

05 CV 4819 SD NY 11/4/2005 4c(b) 1.1(b) DEFAULT ORDER RESTITUTIO

POST JUDGMONETARY POST JUDGWITHIN TEPROTECT & ACCOUNT 

WORLD-WIDE CURRENCY SERVICES CORP.

03-80032 SD FL 1/4/2005 CIVIL MON

$4,331,658.9

WORLDWIDE FOREX, INC. 04-60797 SD FL 5/24/2007 4b(a) PERMANENT 

INJUNCTION

RESTITUTIOJUDGMENT CIVIL MONPLUS POST OWED; STOPROHIBITIODESIGNATE

XU, YI KERRY C 05 2641 ND CAL 9/1/2006 4b(i)&(iii); 4(a) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

RESTITUTIOOWED; STOPROHIBITIOMONITOR; UNDERTAK

YAMPOLSKY, MAXIM 03 CV 9126 SD NY 2/8/2008 4b(a)(2); 4(a) 1.1(b) PERMANENT 

INJUNCTION

DEFAULT OPENALTY OJUDGMENT RECORDS; SOLICITATMAY NOT APARTIAL A

YANEV, MARIN ILLIEV, individually and d/b/a FX UNIGMA, INC., AND FX WORLD, INC.

2:05cv900 SD OH 5/1/2007 4b(a)(2)(i)&(iii) 1.1(b)(1)&(3) PERMANENT 

INJUNCTION

CIVIL MONPLUS POST SOLICITATSHALL COM

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JANUARY 1, 2005 THRU DECEMBER 31, 2008

RESPONDENT NAME DOCKET # JURISDICTION ACTION 

DATE

ACTS 

VIOLATED

REGS 

VIOLATED

DISPOSITION DISP

YOOS, THOMAS W., JR. 06-60001 SD FL 7/9/2008 DEFAULT ORDER DISGORGEM

JUDGMENT 

YORK COMMODITIES 06 CV 7017 SD NY 5/7/2007 4c(b) 32.9(a)&(c) PERMANENT 

INJUNCTION

DEFAULT O$3,262,788.7INTEREST JMONETARY POST JUDGORDER; STPROHIBITIOUNDERTAK

ZHOU, JAMES J. CV04-8213 CD CAL 6/11/2008 4b(a)(2)(i)&(iii)

; 4o(1); 4m(1); 4k(3)

4.41(a); 3.12(a); 4.31(a)

PERMANENT INJUNCTION

RESTITUTIOMONETARY PRE & POST JOINTLY OWTRADING PDESIGNATE

ZHOU, RUN PING a/k/a FLORA ZHOU

C 05 2641 ND CAL 12/19/2006 STIPULATE

ENTERED IORDER OF ENTIRE OUBECOMES D

ZHUANG, JIAN CV03-8339 CD CAL 11/30/2006 4(a); 4b(a) 1.1(b)(1)-(3) PERMANENT 

INJUNCTION

RESTITUTIOOWED; CIV$250,000; STPROHIBITIO

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