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1
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ORDER
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EXTRACTED KEY WORDS
FUTURES TRADING COMMISSION COURT ACCOUNT CONTROL COMMODITY ASSETS YORK SOUTHERN DISTRICT BUSINESS INJUNCTION BANK ACCOUNTS POSSESSION CUSTODY RESTRAINING ORDER FREEZING UNITED STATES AGENTS FINANCES PURPOSES MEMORANDUM IMMEDIATE EVIDENCE STATUTORY SECURITIES CONSENT THERETO DISCLOSE AUTHORITY MATTER LAW |
RPR 09 2003 10:02 FR CFTC TO
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
----I-----------_--_______________II____--
_
03 cv fig2gi!i
Commodity Futures Trading Commission, :
PiZliIlti&
.
. 03 CIV
V.
U.S. Securities & Futures Corp.
Defendant.
--------------------_----------_--_-----m--x
Statutory Restraining Order Freezing Assets, Prohibiting the Destruction of
Permitting the Commission Immediate Access to Review Records, and Ordering Defendant
to Show Cause Why a Preliminary Injunction Should Not Be Granted
Plaintiff, Commodity Futures Trading Commission (the "Commission"), has
complaint for permanent injunction and other relief; and moved exparte, pursuant to
of the Commodity Exchange Act, as amended ("Act"), 7 U.S.C. §13a-1 (I994), for a
restraining order freezing assets, and ordering the Defendant to show cause why a
injunction should no? be issued. The Court has considered the pleadings, declarations,
and memorandum filed in support of the Commission's motion and now being filly advised
the promises finds that: '
(1) this Court has jurisdiction over the subject matter of this
the Act, 7 U.S.C. §13a-1 (1994), authorizes exparte relief;
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2
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COMPLAINT
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EXTRACTED KEY WORDS
COMMISSION ACT FCM REGULATION WARNING YORK ADMINISTERING VIOLATION CUSTOMER BROKER COMMODITY EXCHANGE ACT PRACTICES DISTRICT WITHDRAW CONTRACT LLC E-FUTURES WARNING LEVEL MARKETPLACE PROTECTION SECURITIES FLOOR WALL STREET CHARGES BUSINESS THEREUNDER PROVISION AUTHORITES DEFENDANT |
APR 09 2003 10:02 FR CFTC
P.02
UNITED STATES DISTRICT COURT
SOUTHEIW DISTRICT OF NEW YORK
-----------___--_-_------------------------------------------- a
Commodity Futures Trading Commission, :
Plaintiff,
V.
U.S. Securities & Futures Corp.
Defendant.
I.
SUMMARY
1. From at least February 28, 2003 to the present,
Futures Corp., has fallen below the adjusted net capital requirements it
doing business as a futures commission merchant (`KM")
Futures Trading Commission ("Commission"). Within
triggered the FCM early warning requirements and dangerously depleted its
With these practices, the defendant has violated Section 4f(b) of the
7 U.S.C. 9 6f(b) (2002), and Commission Regulation 1.17(a), 17 C.F.R, 0
FiPR 09 2083 18:02 FR CFTC TO
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