United States Commodity Futures Trading Commission v. Brown
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|Date Filed||#||Document Text|
|January 21, 2014
FINAL JUDGMENT Entering judgment in favor of the CFTC and against defendant on Counts 1, 2, and 3 of the Complaint; Imposing damages against defendant pursuant to 7 U.S.C. § 13a-1 (2012), in the amount of $1,131,941.98; Imposing a civil mon etary penalty against defendant pursuant to 7 U.S.C. § 13a-1(d) (2012) and 17 C.F.R. § 143.8(a)(1)(ii)(D) in the amount of $140,000. IT IS FURTHER ORDERED PERMANENTLY ENJOINING DEFENDANT AS FOLLOWS: Defendant is permanently restrained, enjoined, and prohibited from directly or indirectly:(a) using the mails or any means or instrumentality of interstate commerce, directly or indirectly, to employ any device, scheme, or artifice to defraud any client or participant or prospective cl ient or participant, or to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any commodity trading client or commodity pool participant or prospective client or participant in violation of 7 U.S.C. 167; 6o (2012);(b) acting as a commodity pool operator or commodity trading advisor, as those terms are defined under 7 U.S.C. § 1a (2012), in violation of 7 U.S.C. § 6m (2012). Defendant is also permanently restrained, enjoined, and prohibited from directly or indirectly: (a) trading on or subject to the rules of any registered entity, as that term is defined in 7 U.S.C. § 1a (2012). Signed by Senior Judge Frederick J Martone on 1/21/2014. (See PDF for full details.)(KMG)
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