- Led the investigative efforts and negotiated an administrative resolution of several regulatory violations by two commodity pool operators related to their operation of two commodity pools, resulting in a $100,000 penalty and a five-year ban on trading on behalf of others.
- Obtained a judgment of over two million dollars in combined restitution and penalties against a recidivist defendant operating a Ponzi scheme. The injunctive relief portion of the final judgment required this particular defendant to make affirmative disclosures in conjunction with future writings and speaking engagements concerning commodity interests.
- Brought charges and obtained a consent order of permanent injunction awarding over one million dollars in combined restitution and penalties related to illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis.
- As part of a litigation team, obtained a trial verdict awarding over one hundred million dollars in combined penalties and restitution against four related companies and their owners on charges that they had fraudulently misrepresented the nature of precious metals transactions that resulted in millions of dollars in customer losses.
- Sought and obtained emergency relief, including the freezing of assets, related to a fraudulent commodity pool operator and its principals involved in a multi-million dollar Ponzi scheme.
- Successfully sought and obtained the appointment of a receiver, which returned all frozen assets to affected investors. Pursued the case to final judgment against all parties involved, including permanent industry bans and over twenty-four million dollars in combined penalties and disgorgement.
- Settled supervision-related charges with a registered retail foreign exchange dealer regarding their trading platform and obtained over two million dollars in combined restitution and penalties.
- Settled supervision-related charges with a registered introducing broker related to its handling of accounts referred to it by unregistered futures trading system providers and obtained over $400,000 in penalties.
- As co-plaintiff with a state regulator, obtained permanent injunctive relief against a seller of futures trading systems and its two principals and obtained nearly fifteen million dollars in combined restitution, disgorgement, and penalties.
- Obtained a statutory restraining order and ultimately settled fraud charges against a group of company defendants and their owner, including a five-year trading ban and nearly $400,000 in combined restitution, disgorgement, and penalties.