October 14, 2015

The U.S. District Court for the Northern District of Ohio entered judgment against Bradley A. Miklovich of Stow, Ohio, resolving charges that Miklovich, a former Associated Person of Rice Investment Company made unauthorized trades for two customers’ accounts and falsified a customer’s account statements and Rice’s internal documents. The order requires Miklovich to make full restitution to Rice in the amount of $566,360 and to pay a $100,000 civil monetary penalty.  CFTC

Tagged in: Fraud in CFTC-Regulated Markets,