Page 1 

Commodity Futures Trading Commission 

CEA CASES 

NAME: RODGER HARRIS 

DOCKET NUMBER: 170 

DATE: MARCH 11, 1970 

DOCUMENT TYPE: COMPLAINT 

UNITED STATES DEPARTMENT OF AGRICULTURE 

BEFORE THE SECRETARY OF AGRICULTURE 

In re: Rodger Harris, Respondent 

CEA Docket No. 170 

Complaint and Notice of Hearing Under the Commodity Exchange Act 

There is reason to believe that the respondent, Rodger Harris, has violated 

the Commodity Exchange Act (7 U.S.C. Chapter 1, 1964 ed., as amended, Supp. IV, 

1969), and in accordance with the provisions of sections 6(b) and 6(c) of the 

said Act (7 U.S.C. 9 and 13b, Supp. IV, 1969), this complaint and notice of 

hearing is issued stating the charges in that respect as follows: 

I 

The respondent, Rodger Harris, an individual whose business address is 110 

North Franklin Street, Chicago, Illinois 60606, was at all times material herein 

employed as the manager of the New Orleans, Louisiana, office of The Siegel 

Trading Co., Inc., a commodity brokerage firm. The said firm was, at all times 

material herein, a registered futures commission merchant under the Commodity 

Exchange Act, and a member of the Chicago Mercantile Exchange and the New York 

Mercantile Exchange, both duly designated contract markets under the Commodity 

Exchange Act. 

II 

At all times material herein, Mrs. Wilodyne Hooper maintained a commodity 

futures account at The Siegel Trading Co., Inc., and at all such times the 

respondent personally handled the trading in such account. 

III 

The futures transactions, referred to in this complaint, relate to the 

purchase and sale of Maine-grown Irish potato futures contracts on the New York 

Mercantile Exchange, each of which contracts calls for the delivery of 50,000 

pounds of such potatoes. Such contracts could have been used for (a) hedging 

transactions in interstate commerce in potatoes or the products or by-products 

thereof, (b) determining the price basis of transactions in interstate commerce 

in potatoes, and (c) delivering potatoes sold, shipped or received in interstate 

commerce for the fulfillment of such futures contracts. 

IV 

Acting without the knowledge or consent of Mrs. Wilodyne Hooper, the 

respondent: (1) On April 23 and 25, 1968, placed in her account at The Siegel 

Trading Co., Inc., a total of four May 1968 potato futures contracts, which 

established a new long position in such futures for such account; and (2) On May 

1, 1968, liquidated such long position at prices which resulted in a net loss of 

approximately $ 1,500.00 to Mrs. Wilodyne Hooper's account. 

V 
Page 2 

By reason of the facts alleged in this complaint, the respondent attempted to 

cheat and defraud and did cheat and defraud, a person in or in connection with 

the making of contracts of sale of commodities for future delivery on or subject 

to the rules of a contract market, in wilful violation of section 4b of the 

Commodity Exchange Act (7 U.S.C. 6b, Supp. IV, 1969). 

WHEREFORE, it is hereby ordered that this complaint and notice of hearing be 

served upon the respondent and this proceeding shall be governed by sections 

0.1, 0.2, 0.4(b), 0.5 through 0.22, and 0.28 of the rules of practice under the 

Commodity Exchange Act (17 CFR 0.1, 0.2, 0.4(b), 0.5 through 0.22, and 0.28). 

The respondent will have twenty (20) days after the receipt of this complaint in 

which to file with the Hearing Clerk, United States Department of Agriculture, 

Washington, D. C. 20250, an answer with an original and three copies, fully and 

completely stating the nature of the defense and admitting or denying, 

specifically and in detail, each allegation of this complaint. Allegations not 

answered will be deemed admitted for the purposes of this proceeding. Failure 

to file an answer will constitute an admission of all allegations of this 

complaint and a waiver of hearing. The filing of an answer in which all of the 

material allegations of fact contained in this complaint are admitted likewise 

shall constitute a waiver of hearing unless a hearing is requested. The 

respondent is hereby notified that unless a hearing is waived, a 

hearing will be held at 10:00 a.m. local time, on April 15, 1970, in Chicago, 

Illinois, at a place therein to be specified later, before a referee designated 

to conduct such hearing. At such hearing, the respondent will have the right to 

appear and show cause, if any there be, why an appropriate order should not be 

issued in accordance with the Commodity Exchange Act, (1) prohibiting the 

respondent from trading on or subject to the rules of any contract market, and 

directing that all contract markets refuse all trading privileges to the 

respondent for such period of time as may be determined, and (2) directing that 

the respondent shall cease and desist from violating the Commodity Exchange Act 

in the manner alleged herein. 

It is ordered that this complaint and notice of hearing be served on the 

respondent at least twenty (20) days prior to the date set for hearing. 

Done at Washington, D.C. 

March 11, 1970 

[SEE SIGNATURE IN ORIGINAL] 

Richard E. Lyng 

Assistant Secretary 

LOAD-DATE: June 16, 2008 
Page 3