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1
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ORDER
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EXTRACTED KEY WORDS
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2
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COMPLAINT
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EXTRACTED KEY WORDS
ADVENT CONTRACT ACT DEFENDANTS ACCOUNT FOREIGN CURRENCY TRANSACTIONS FUTURES DALEY VIOLATION COMMISSION COMMODITY FUNDS TRADING TRADE CONTRACT MARKET EXECUTION PARTNERS INVESTORS DELIVERY BROKERS COURT PROSPECTIVE CUSTOMERS GEORGIA SAMUEL DALEY PURSUANT PRACTICES CFMA JURISDICTION |
UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF GEORGIA
ATLANTA DIVISION
COMMODITY FUTURES TRADING ) Civil Case No. 1:02-CV-1381
COMMISSION, )
)
) COMPLAINT FOR INJUNCTIVE AND
Plaintiff, ) OTHER EQUITABLE RELIEF AND
) FOR CIVIL PENALTIES UNDER THE
vs. ) COMMODITY EXCHANGE ACT, AS
) AMENDED, 7 U.S.C. §§ 1-25
Advent Capital Partners, Ltd. )
and Samuel Daley, )
)
)
Defendants. )
)
________________________________ )
I. SUMMARY
1. Since at least December 21, 2000, Defendants
Advent Capital Partners, Ltd. ("Advent") and Samuel Daley
("Daley")(collectively, "Defendants") have solicited and
accepted funds from retail investors to engage in
speculative trading of foreign currency futures contracts.
Because these transactions are not (a) conducted on or
subject to the rules of a board of trade which has been
designated or registered by the Commodity Futures Trading
Commission ("Commission") as a contract market or
derivatives transaction execution facility for such
commodity, (b) executed or consummated by or through a
contract market, and (c) evidenced by a record in writing
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