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CHU v. U.S. COMMODITY FUTURES TRADING COM'N

No. 13-73294.

823 F.3d 1245 (2016)

Chenli CHU, Petitioner, v. U.S. COMMODITY FUTURES TRADING COMMISSION, Respondent.

United States Court of Appeals, Ninth Circuit.

Filed May 25, 2016.

Attorney(s) appearing for the Case

Robert E. Thompson , San Francisco, California, for Petitioner.

Jonathan L. Marcus , General Counsel, Robert A. Schwartz , Deputy General Counsel, Mary T. Connelly , Assistant General Counsel, Commodity Futures Trading Commission, Washington, D.C., for Respondent.

Before: M. Margaret McKeown, Johnnie B. Rawlinson, and Andre M. Davis, Circuit Judges.

OPINION

This appeal arises from the Commodity Futures Trading Commission's ("CFTC" or "Commission") determination that an independent commodity trading advisor "had actual and apparent authority" to conduct certain trades of commodities futures on behalf of an investor. Chenli Chu, a retiree with significant trading...

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