CFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges Lindstrom’s Scheme Caused His Employer More Than $13.9 Million In Losses And Led To The Collapse Of Rock Capital Markets, LLC In Early 2015, After More Than 23 Years In Business

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on 10-year U.S. Treasury note futures (T-Note Options). Lindstrom is registered with the CFTC as a floor broker, has been a member of the Chicago Board of Trade (CBOT) since 1993, and is a long-time trader of T-Note Options offered on the CBOT.