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U.S. Commodity Futures Trading Commission v. Dizona

In her role as a summary witness, the investigator was not a qualified witness who could explain the record keeping system of the company and vouch that the requirements of the rule had been met. Therefore, the exhibits were not properly admitted under Rule 803(6) of the Federal Rules of Evidence. 5th U.S. Circuit Court of Appeals, No. 08-20418, 01-14-2010

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Before REAVLEY, DAVIS, and BENAVIDES, Circuit Judges.

This civil appeal stems from a suit alleging violations of the Commodity Exchange Act, 7 U.S.C. §§ 1 et seq. (2002). The United States Commodity Futures Trading Commission (“the Commission”) brought this suit against Anthony Dizona, a commodities trader on the West Trading Desk of Coral Energy Resources, L.P. (“Coral”). The jury found that Dizona had attempted to manipulate the market price of natural gas in interstate commerce in violation of 7 U.S.C. § 13(a)(2). The jury, however, rejected the allegation that Dizona had knowingly delivered false reports that tended to affect the market price of natural gas in violation of § 13(a)(2). Both parties filed a motion for judgment as a matter of law. The district court granted Dizona’s motion and denied the Commission’s motion. The Commission now appeals the judgment, contending that the district court erred in granting Dizona’s motion for judgment as a matter of law and as a result, the jury’s verdict as to the attempted manipulation charge should be reinstated. The Commission also argues that the district court erred in denying the Commission’s motion for judgment as a matter of law and that it is entitled to a new trial on the charge of knowing delivery of false reports. Finding no reversible error, we AFFIRM.

I. FACTUAL AND PROCEDURAL HISTORY

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