United States Commodity Futures Trading Commission v. Brown

Justia Dockets & Filings Ninth Circuit Arizona District Court United States Commodity Futures Trading Commission v. Brown

United States Commodity Futures Trading Commission v. Brown

Plaintiff:	United States Commodity Futures Trading Commission
Defendant:	Ray Thomas Brown
Case Number:	2:2012cv02513
Filed:	November 26, 2012
Court:	US District Court for the District of Arizona
Office:	Phoenix Division Office
County:	Maricopa
Presiding Judge:	Frederick J Martone
Nature of Suit:	Other Statutes: Securities/Commodities
Cause of Action:	7 U.S.C. § 6 (b) Federal Commodity Exchange Regulation
Jury Demanded By:	None

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Date Filed	Document Text
January 21, 2014	Filing 44 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)

Date Filed

Document Text

January 21, 2014

Filing 44 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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Plaintiff: United States Commodity Futures Trading Commission
Represented By:	Richard P Foelber
Represented By:	Jonathan Robell
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Defendant: Ray Thomas Brown
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