UNITED STATES OF AMERICA
COMMODITY FUTURES TRADING COMMISSION
JEFFREY ROBERT KERR and
CFTC Docket No. 98-R178
ORDER PURSUANT TO
On May 26, 1999, the Judgment Officer dismissed Susan Watters' complaint seeking $11,704 for alleged unauthorized trading. Complainant's spouse, Richard Watters, filed a timely notice of appeal. He signed the notice and named himself the appealing party. Commission rules provides that "any aggrieved party to a proceeding . . . may appeal to the Commission an initial decision . . . ." 17 C.F.R. § 12.401(a) (emphasis supplied).
Richard Watters is not a party to this action. He had discretionary authority to trade his wife's account that is the subject of this action, but was not a named account holder. Initial Decision at 2. Further, the Commission's rules make no provision for representation of a claimant (other than a trust or a corporation) by a non-attorney. 17 C.F.R.§ 12.9(a). The notice of appeal is further flawed because it does not indicate whether it was served on the opposing parties, as required by Rule 12.401(a).
Given complainant's pro se status and Richard Watters' active role in the management of his wife's account, the flawed notice of appeal may represent a good faith error by complainant. If complainant wishes to pursue an appeal, then, not later than ten days after the date of this order, she shall serve on all parties and file with the Proceedings Clerk a notice of appeal that she herself has executed, and stating that she is the appealing party. Further, the notice shall state it has been served on all respondents.
The appellate filing fee submitted by Richard Watters is being returned. Complainant shall resubmit the filing fee with any notice of appeal she files. If no appeal is filed within the time allowed, the initial decision shall become the final decision of the Commission pursuant to 17 C.F.R.§ 12.210(d).
IT IS SO ORDERED.1
J. Douglas Richards
Deputy General Counsel
Commodity Futures Trading Commission
Dated: June 29, 1999
1 By the Commission pursuant to delegated authority. 17 C.F.R. 12.408(a)(6).