The Proceedings Bulletin contains information about the Commission's administrative and injunctive enforcement actions and its statutory disqualification-from-registration proceedings.
The Proceedings Bulletin lists in alphabetical order, persons and companies
- that have been charged either administratively or injunctively with violations of the Commodity Exchange Act and/or Commission regulations or
- that have been alleged by the Commission to be statutorily disqualified from registration.
The names of parties who were initially charged and subsequently dismissed from a proceeding, or against whom no sanctions were imposed, are not listed in the Proceedings Bulletin unless the case is on appeal. Resolved cases and those on appeal are included. Sanctions originally imposed are listed. Sanctions currently in effect against an individual or firm may not be shown here.
Notes to Proceedings Bulletin:
- Disposition column: a “complaint filed” notation indicates that a complaint has been filed, but no dispositive orders have been issued in the case as of the date of the Proceedings Bulletin.
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- Once a dispositive order is issued, the sanctions assessed are reflected in this column; for injunctive cases, this may include orders for disgorgement, the appointment of a receiver, and other types of relief granted.
- If an order of a court is on appeal at the time the bulletin is printed, that fact is reflected as well.
- Acts Violated and Regs Violated columns: initially, this reflects violations alleged in the complaint.
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- Once a court has ruled and made findings regarding violations, the information in this column reflects the violations found by the court.
- Jurisdiction column: administrative actions are indicated by the notation CFTC; injunctive actions are indicated by the United States district court in which the matter is filed.