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 Enforcement Actions
View Opinions and Adjudicatory Orders

Date Dispositions
Richard Bryan Graham v. Interactive Brokers, LLC PDF Image
CFTC Docket No. 17-R003
Chetan Joshi v. Gain Capital Group, LLC d/b/a Forex.com PDF Image
CFTC Docket No. 15-R005
Daniel J. Emily v. Guy K. Gleichmann and United Strategic Investors Group LLC PDF Image
CFTC Docket No. 14-R007
Ronald S. Draper v. KCG Americas, LLC, Main Street Trading, Inc., Patrick J. Flynn and Wedbush Securities, Inc. PDF Image
CFTC Docket No. 16-R003
Sean Waraich v. National Australia Bank, Limited PDF Image
CFTC Docket No. 17-R011
Suntex Corporation v. Jacob Michael Hinkle, John William Sendlosky and Tradestation Securities, Inc. PDF Image
CFTC Docket No. 16-R006
Prokosch Farms, Inc. v. Dean Michael Heffta and Water Street Advisory, Inc. PDF Image
CFTC Docket No. 16-R017
Prokosch Farms, Inc. v. Dean Michael Heffta and Water Street Advisory, Inc. PDF Image
CFTC Docket No. 16-R017
Advanta IRA Trust LLC, FBO Kevin Traina v. Tradestation Securities, Inc., Jacob Michael Hinkle and John William Sendlosky PDF Image
CFTC Docket No. 16-R016 
Herbert Moskowitz and Ari Moskowitz v. Russell Edward Tanner PDF Image
CFTC Docket No. 13-R015 and 13-R020