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Dispositions

Dispositions in cases brought in the CFTC's Reparations program and in administrative enforcement cases brought by the CFTC Division of Enforcement. Dispositions may include initial decisions, orders, and other rulings.  Please note that not all dispositions are final. 

View By Year: 2012 // 2011 // 2010 // 2009 // 2008 // 2007 // 2006 // Dispositions Archive
Date
Dispositions
09/28/2012
Alexander Timothy Darrah v. Steve David Knowles and Paul F. Plunkett PDF Image
CFTC Docket No. 05-R042
08/24/2012
Chaim Eichenstein v. Advantage Futures, LLC PDF Image
CFTC Docket No. 12-R014
08/23/2012
JaiPaul Swamidass v. Blue Fish Commodities, Inc., Andrew David Fisher and Vision Financial Markets, LLC PDF Image
CFTC Docket No. 10-R028
08/23/2012
Commercial Investment Capital, Inc. v. Blue Fish Commodities, Inc., Andrew David Fisher, and Vision Financial Markets, LLC PDF Image
CFTC Docket No. 11-R007
07/26/2012
Mehriya Razaki v. Meghan Bator and Alakesh "Alex" Dholakia PDF Image
CFTC Docket No. 10-R030
07/16/2012
Mahi Investments, LLC v. Peregrine Financial Group, Inc. d/ba PFGBest and PFGBest.com PDF Image
CFTC Docket No. 12-R003
07/16/2012
Servicios de Salud Mundial (Global Health Services), v. Alaron Trading Corporation d/b/a Alaron Futures and Options, Peregrine Financial Group, Inc., d/b/a PFG Best, Steven Alan Greenberg, Enrique Jose Gallo, Alberto Inocente Alvarez and Alberto Tarafa PDF Image
CFTC Docket No. 12-R004
07/10/2012
In the Matter of: Joseph A. Dawson and Strategic Research, LLC PDF Image
CFTC Docket No. SD 12-03
07/09/2012
Karen S. Buchanan v. Success Bullion USA, Inc. PDF Image
CFTC Docket No. 11-R012
05/03/2012
Herman D. Goll v. Jeffrey Duane Coe, Jeffrey Duane Coe d/b/a Coe Coe Commodity and R.J. O'Brien Associations LLC PDF Image
CFTC Docket No. 10-R029
02/24/2012
Mehriya Razaki v. Meghan Bator, Alakesh "Alex" Dholakia, Brian Donahue, Randolph J. Ginsberg and Jeffrey B. Jenkins PDF Image
CFTC Docket No. 10-R030
02/17/2012
Richard Hallberg v. R.J. O'Brien Associates, LLC PDF Image
CFTC Docket No. 11-R015
02/17/2012
William Sauve v. R.J. O'Brien Associates, LLC PDF Image
CFTC Docket No. 11-R019
02/17/2012
James Van Zee v. R.J. O'Brien Associates, LLC PDF Image
CFTC Docket No. 11-R020
02/14/2012
In the Matter of: Raleigh Capital Management, Inc. PDF Image
CFTC Docket No. SD 12-01
02/08/2012
David Fisher v. Farr Financial, Inc., Ironbeam, Inc., Ramon Vahdatinia d/b/a Sonic Futures & Options and Patrick Parsa Vahid PDF Image
CFTC Docket No. 11-R017
02/03/2012
Sherry R. Middleton and Mark A. Middleton v. James P. Cagnina, Jr., Anthony Giacomin and Infinity Futures, LLC PDF Image
CFTC Docket No. 11-R011
01/23/2012
Charles H. Pennington v. William Matthew Kenney and Knox Capital Management, LLC PDF Image
CFTC Docket No. 11-R018
01/11/2012
Susan M. Elliott v. Jay De Bradley, Farr Investments, LLC, MF Global d/b/a Fox Investments, Glenn Trask Moore and Malik Ilori Sievers PDF Image
CFTC Docket No. 11-R004
01/06/2012
Syed Nasir S. Shamim v. Rogelio "Roger" Moraitis and Trade Station Securities, Inc. PDF Image
CFTC Docket No. 11-R014
01/06/2012
Syed Nasir S. Shamim v. Interactive Brokers, LLC. PDF Image
CFTC Docket No. 11-R016

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