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1
.
ORDER
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EXTRACTED KEY WORDS
COMMISSION FLOOR BROKER ACT PROCEEDING FINDINGS COMPLAINT REGULATION COMMODITY FUTURES TRADING CUSTOMER VIOLATIONS ACCOUNT IDENTIFICATION RESPONDENT ALLEGATIONS CONSENTS DANIEL LIPTON EXCHANGE CLERK FLOOR ORDER TICKETS ACCORDANCE YORK BASIS ENFORCEMENT PENALTY PAYMENT CERTIFICATION SPONSOR IMPOSING REMEDIAL SANCTIONS DENYING |
UNITED STATES OF AMERICA
Before the
COMMODITY FUTURES TRADING COMMISSION
_________________________________________
:
In
the
Matter
of
:
:
Bruce
Miller,
: CFTC
Docket
No.
02-14
:
Deirdre
Anderson,
:
:
George
Lamborn,
: Administrative
Law
Judge
: George H. Painter
Richard
Lani
Sr.,
:
:
Daniel
Lipton, :
:
-and- :
:
Kenneth Lawson, :
:
Respondents.
:
_________________________________________ :
ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS
AS TO RESPONDENT DANIEL LIPTON
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2
.
COMPLAINT
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EXTRACTED KEY WORDS
LSI MILLER LAMBORN TRADES COFFEE COMMISSION ANDERSON ACCOUNT STAFF FUTURES RESPONDENT RELEVANT TIME PERIOD COMMODITY FUTURES SCHEME COMMODITY FUTURES TRADING LAWSON CLERKS WORKING ALLOCATION SCHEME ACCOUNT IDENTIFICATION FBS RESPONSIBILITY LOSING COFFEE CUSTOMERS BRUCE MILLER DEIRDRE ANDERSON DANIEL LIPTON KENNETH LAWSON PREFERRED COFFEE CUSTOMERS VIOLATIONS REGULATIONS |
UNITED STATES OF AMERICA
Before the
COMMODITY FUTURES TRADING COMMISSION
)
In the Matter of: )
)
Bruce Miller ) CFTC Docket No.02-14
Barcelona, Spain )
)
Deirdre Anderson ) COMPLAINT AND NOTICE
Staten Island, New York ) OF HEARING PURSUANT TO
) SECTIONS 6(c) and 6(d) OF THE
George Lamborn ) COMMODITY EXCHANGE
Southampton, New York ) ACT, AS AMENDED
)
Richard Lani Sr. )
Princeton, New Jersey )
)
Daniel Lipton )
Long Beach, New York )
)
Kenneth Lawson )
Brooklyn New York )
)
Respondents. )
)
The Commodity Futures Trading Commission ("Commission") has received evidence
from its staff which tends to show, and the Commission's Division of Enforcement ("Division")
alleges that:
I.
SUMMARY
1. From March until July 1997 and from June to July 1998 ("the relevant time
period"), Bruce Miller ("Miller") and Deirdre Anderson ("Anderson"), formerly registered
associated persons ("APs") at Lamborn Securities Inc. ("LSI"), an introducing broker ("IB"),
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