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1
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ORDER
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EXTRACTED KEY WORDS
BERNARD JOHN BARRETT LOUIS TRAEGER COMMODITY FUTURES TRADING COMMODITY FUTURES TRUING COMMISSION |
1 BERNARD JOHN BARRETT,
LOUIS V. TRAEGER,
2 EDWIN J. YOSHIMURA, State Bar
COMMODITY FUTURES TRADING
3 10900 Wilshire Boulevard,
Los Angeles, California
4 Telephone (310) 443-4700
Facsimile (310) 443-4745
5
Attorneys for Plaintiff
6 Commodity Futures Trading Commission
7
0 UNITED STATES DISTF.ICT COURT
9 CENTRAL DISTRIl OF
10
COMMODITY FUTURES TRUING
11 COMMISSION,
12 Plaintiff,
13 [
REGO GAINER FINANCIAL, INC., a )
14 California corporation; REGO )
GAINER, INC., a California I
15 corporation, and KWOK LUN LAM, CAUSE
an individual
16
Defendants.
17
18
19 This matter came on for hearing on
the
20 Ex Parte Application of Plaintiff
21 Commission (the "Commission") for a: (I)
22 Order; (2) Order to Show Cause re: Preliminary
and (3)
23 Order Permitting Immediate Expedited
24 "Application"). The Court, having
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2
.
COMPLAINT
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EXTRACTED KEY WORDS
ACT TRANSACTIONS REGO GAINER FOREIGN CURRENCY FUTURES COMMODITY DEFENDANTS COMMISSION BUSINESS CALIFORNIA CONTRACT MARKET VIOLATION TRADING SALE FUTURE DELIVERY EXECUTION CUSTOMERS RETAIL LOS ANGELES DISTRICT COURT EXCHANGE ACT PLAINTIFF JURISDICTION PRACTICES INVESTMENTS TRADE PRICES PURCHASE |
1
UNITED STATES DISTRICT COURT
2
CENTRAL DISTRICT OF CALIFORNIA
3
4
COMMODITY FUTURES TRADING )
5 COMMISSION, )
) Case No. 02-01417 DT (Mcx)
6 )
Plaintiff, )
7 ) COMPLAINT FOR INJUNCTIVE AND
vs. ) OTHER EQUITABLE RELIEF AND
8 ) FOR CIVIL PENALTIES UNDER THE
REGO GAINER FINANCIAL, INC., a ) COMMODITY EXCHANGE ACT, AS
9 California corporation; REGO ) AMENDED, 7 U.S.C. §§ 1-25
GAINER, INC., a California )
10 corporation; and KWOK LUN LAM, )
an individual; )
11 )
)
12
Defendants. )
)
13 ________________________________ )
14
I.
15
JURISDICTION AND VENUE
16
1. Section 2(c)(2)(B)(i) and (ii) of the Commodity
17
Exchange Act, 7 U.S.C. § 2 (2001)("Act") grants plaintiff, the
18
Commodity Futures Trading Commission ("Commission"), jurisdiction
19
over certain transactions in foreign currency that are contracts
20
for the sale of a commodity for future delivery, including the
21
transactions alleged in this Complaint. This Court has
22
jurisdiction over this action pursuant to Section 6c of the Act,
23
7 U.S.C. § 13a-1 (2001), which authorizes the Commission to seek
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