Summary of Significant Documents and Events Pertaining to

CFTC Vs Lavin

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This is a listing of the significant documents and/or events that pertain to the Commodities Futures trading Commission (CFTC) Civil lawsuit against me/my companies that I still have in my possession. The majority of other documents were seized by the US Government when they raided my personal residence on March, 20 2007 and have still not been returned (as of July 1, 2008). It is impossible to thoroughly defend myself against all of the claims being made without these thousands of pages of missing documents.  In addition, some documents that relate to current negotiations and similar items may not be included here. All statements made here or in any of these documents are merely my personal opinion at the time that I made them.

 
Narrative
I have never knowingly traded a commodity, offered to trade a commodity, hired anyone to trade commodities on my or anyone else's behalf, managed client funds in commodities markets, etc. etc. etc.
     
 
  12-26-2002 CFTC Response - This was the last response that I had for the CFTC in 2002 when they contacted me and brought up issues as to whether or not my company was trading commodities and/or under their jurisdiction. I have always believed that neither Myself or my companies ever willingly or purposely engaged in the trading of commodities or options on currencies. This letter was never disputed by the CFTC. 
  07-26-2007 CFTC Complaint with Joes Initial Responses - This is the initial complaint that the CFTC filed almost immediately after it became apparent that I was not comfortable with the plea agreement that the US Attorneys office presented me with. It also has my initial gut reaction responses for my attorney. This document was returned to the CFTC with my comments. This was one of the two complaints that were used by the government to prepare the sentencing report for the judge. The sentencing report is supposed to be a fair and informed representation of your life and the acts you are being sentenced for. Mine was not, for the most part it was simply a cut and paste of a couple of lawsuits that were never litigated (as of July 1, 2008), contained a multitude of false statements and were extremely prejudiced.
     
  03-27-2008 CFTC Proposed Lavin Consent Order with Comments - This was supposed to be the CFTC's proposal after reading my response and making changes. It was terrible as well.
     
  06-04-2008 Jurisdiction examples given by CFTC - Joes Comments - At this time I still do not believe that the CFTC has jurisdiction over me. My attorney set up a conference call with the CFTC to discuss this and they gave three reasons why they believed they could prove that either I or my companies were under their Jurisdiction.

1. The initial LLC agreement for one of the companies I manage allowed the activity. See file.
2. Statements I had never seen from a broker my company retained for spot trades only. See file.
3. The sworn testimony of Robert Garneau stating that I personally offered to trade forex commodities (option contracts to buy currencies for a specific price in the future, kind of like pork bellies) for him. They did not provide the testimony, but I would really love to see it as I have not read a lot of good fiction as of late! I have never knowingly dealt, offered, traded or otherwise been involved with this kind of financial product. Not once, never!
     
  06-10-2008 Proposed Consent Order for defendants (With Joes Comments) - After agreeing to make some changes that they did not make, they sent this ridiculous offer to me.

1. Preposterous claims.
2. They are shamelessly trying to use my mother to pressure me to sign this before going to prison. 
3. They want me to pay a $4 million dollar fee to the government instead of taking care of some of my clients who lost money.