| Name | Contributor | Case # | Action Type | Outcomes |
|---|
| A & H FINANCIAL SERVICES INC | NFA | 91MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| A & H FINANCIAL SERVICES INC | CFTC | 91-22 |
- CFTC ADMINISTRATIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- CPO REGISTRATION REVOKED
- COMPLAINT FILED
|
| BOYLES STEPHEN M SR | NYME | 91-57 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ODL SECURITIES INC | NFA | 07BCC00006 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $165000
|
| INFINITY FUTURES LLC | NFA | 06BCC00019 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- FINE $20000
|
| INFINITY FUTURES LLC | CFTC | 12-32 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $40000
- FINE $300000
- COMPLAINT FILED
|
| CARLES ALEXIS | NFA | 97BCC00017 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| CARLES ALEXIS | CFTC | 97-1360 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
|
| AGRIDATA RESOURCES INC | CFTC | 76-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CTA REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| A L & T TRADING INC | CFTC | 78-0161 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| VISIONEERING ASSET MANAGEMENT COMPANY | CFTC | 97-11 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $50000
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- CONTINGENT
- OTHER (SEE NARRATIVE)
|
| A+ CURRENCIES INTERNATIONAL INC. | CFTC | 96-7814 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- FREEZE ASSETS
- COMPLAINT FILED
- ACCESS BOOKS
- PROTECT BOOKS
|
| AAKOP LLC | NFA | 02BCC00019 |
- FINANCIAL
|
- FINE $2000
|
| TRANSMARKET GROUP INC | CBOT | 90-RRR-413 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| TRANSMARKET GROUP INC | CBOT | 87-FIN-190 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| AARISTO COMMODITIES AND FUTURES DMCC | CFTC | 07 CIV 2770 |
- CFTC INJUNCTIVE ACTION
|
- FINE $100000
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| ABACUS INVESTMENT GROUP, INC. | CFTC | 97C6528 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- RETURN FUNDS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- ACCOUNT ORDER
- FREEZE ASSETS
|
| ABC COMMODITY FUTURES AND OPTIONS INC | NFA | 86BCC00024 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| ADVANTAGE FUTURES LLC | CBOE | CFE12-0001 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $20000
- CENSURE
|
| ADVANTAGE FUTURES LLC | CBOT | 13-9268 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CBOT | 13-7521 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ADVANTAGE FUTURES LLC | CBOT | 1206427CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADVANTAGE FUTURES LLC | CBOT | 12-9161 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADVANTAGE FUTURES LLC | CBOT | 1105945CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CBOT | 06-RFT-062 |
- FLOOR RECORDKEEPING
|
- FINE $1200
|
| ADVANTAGE FUTURES LLC | CME | 13-7608-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CME | 1108079CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CME | 0803396CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CME | 0424247CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADVANTAGE FUTURES LLC | CME | 0423915CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| ADVANTAGE FUTURES LLC | CME | 0322540CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ADVANTAGE FUTURES LLC | ICE | 2013-034 |
- OFFICE RECORDKEEPING
|
- FINE PAID $7500
|
| ADVANTAGE FUTURES LLC | ICE | 2012-059(A) |
- CLEARING PROCEDURES
|
- FINE PAID $15000
|
| ADVANTAGE FUTURES LLC | ICE | 2012-046 |
- OFFICE RECORDKEEPING
|
- FINE PAID $5000
|
| ADVANTAGE FUTURES LLC | ICE | 2011-025 |
- TRADE PRACTICE
|
- FINE-SUMMARY $5000
|
| ABELL HOWARD | CFTC | 89-27 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $25000
- TRADING PRIVILEGES SUSPENDED 30 DAYS
- FB REGISTRATION SUSPENDED 30 DAYS
- CEASE AND DESIST ORDER
- COMPLAINT FILED
- MUST LIQUIDATE POSITIONS
|
| ABL TRADERS TRADING GROUP LLC | NFA | 12BCC00035 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| ABN AMRO BANK NV | CBOT | 2006-INV-1E |
- TRADE PRACTICE
|
- FINE $3500
|
| ABN AMRO INCORPORATED | CBOT | 99-RFT-215 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ABN AMRO INCORPORATED | CBOT | 98-RFT-191 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO INCORPORATED | CBOT | 98-RFT-092 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO INCORPORATED | CBOT | 98-MSI-04 |
- GENERAL CONDUCT
|
- FINE $3000
|
| ABN AMRO INCORPORATED | CBOT | 98-INV-05B |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| ABN AMRO INCORPORATED | CBOT | 97-RFT-192 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO INCORPORATED | CBOT | 97-RFT-097 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO INCORPORATED | CBOT | 96-RRR-396 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO INCORPORATED | CBOT | 96-RRR-313 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| ABN AMRO INCORPORATED | CBOT | 2004-INV-4 |
- TRADE PRACTICE
|
- FINE $20000
|
| ABN AMRO INCORPORATED | CBOT | 06-RFT-027 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO INCORPORATED | CBOT | 04-RFT-074 |
- FLOOR RECORDKEEPING
|
- FINE $1200
|
| ABN AMRO INCORPORATED | CBOT | 02-RFT-103 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ABN AMRO INCORPORATED | CBOT | 02-RFT-053 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO INCORPORATED | CBOT | 01-RFT-112 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ABN AMRO INCORPORATED | CBOT | 01-MSR-15A |
- CLEARING PROCEDURES
|
- FINE $15000
|
| ABN AMRO INCORPORATED | CBOT | 00-RFT-068 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ABN AMRO INCORPORATED | CME | 0627171CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO INCORPORATED | CME | 0423492CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| ABN AMRO INCORPORATED | CME | 0321789CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ABN AMRO INCORPORATED | CME | 0119867CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO INCORPORATED | CSCE | I98-39 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
- CEASE AND DESIST
|
| ABN AMRO INCORPORATED | CSCE | CSCE 1998-39 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
- CEASE AND DESIST
|
| ABN AMRO CLEARING CHICAGO LLC | CFTC | 13-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $1000000
- COMMISSION ORDER
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 98-RFT-015 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 97-RFT-019 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 95-RRR-328 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 95-RRR-219 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 93-RRR-227 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 91-RRR-246 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 90-RRR-228 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 90-EX -24 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $3500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 89-RRR-245 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 2007-INV-13 |
- TRADE PRACTICE
|
- FINE $7000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 12-CH-1209 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $30000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 1106029CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 0801842CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 0801207CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 06-TPR-77-BC |
- TRADE PRACTICE
|
- FINE $5000
- FINE PAID $5000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 06-RFT-037 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 06-RFT-006 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 06-MSI-046 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $35000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 06-EX-028 |
- FINANCIAL
|
- FINE $5000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 05-RFT-056 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 04-RFT-004 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 03-RFT-059 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 03-RFT-011 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 00-RFT-098 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CBOT | 00-RFT-022 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 1108266CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 1108128CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 1007755CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 08-04731-CTRA-BC |
- TRADE PRACTICE
|
- FINE $25000
- FINE PAID $25000
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0700944CTRA |
- FLOOR RECORDKEEPING
|
- FINE $4500
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0700940CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0700937CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0700381CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0626985CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ABN AMRO CLEARING CHICAGO LLC | CME | 0322509CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ABN AMRO CLEARING CHICAGO LLC | ICE | 2012-004 |
- FLOOR RECORDKEEPING
|
- FINE PAID $5000
|
| ABN AMRO CLEARING CHICAGO LLC | ICE | 2011-045 |
- TRADE PRACTICE
|
- FINE-SUMMARY $5000
|
| ABN AMRO CLEARING CHICAGO LLC | MGE | 11-I-09 |
- TRADE PRACTICE
|
- FINE $25000
|
| ABN AMRO CLEARING CHICAGO LLC | NYME | 12-09160-BC ABN AMRO CLRING CHICAGO |
- TRADE PRACTICE
|
- FINE $70000
|
| ABN AMRO CLEARING CHICAGO LLC | NYME | 12-08893-BC - ABN AMRO CLEARING |
- TRADE PRACTICE
|
- FINE PAID $25000
|
| ABRAHAM AND SONS CAPITAL INC | CFTC | 98-7 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES SUSPENDED
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
|
| AC TRADING GROUP INC | NFA | 97MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
|
| AC TRADING GROUP INC | NFA | 97BCC00017 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| AC TRADING GROUP INC | CFTC | 97-1360 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
|
| ZOCO LLC | NFA | 07BCC00027 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $20000
- MUST BE GUARANTEED
|
| ACCELERATION CAPITAL LLC | CFTC | 07-03 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- FINE $218602.05
- COMPLAINT FILED
|
| FRONTIER FUTURES INC | MGE | 06-I-20 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| FRONTIER FUTURES INC | MGE | 05-I-45 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| FRONTIER FUTURES INC | MGE | 05-I-12 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| FRONTIER FUTURES INC | MGE | 04-I-5 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| FRONTIER FUTURES INC | MGE | 00-I-21 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1250
|
| ACCOUNT CAPITAL MANAGEMENT INC | NFA | 99REG00027 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| ACCREDITED INVESTMENT MANAGEMENT CORP | NFA | 95BCC00003 |
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- FINE $15000
|
| ACE AMERICAN INC | NFA | 84MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| ACE AMERICAN INC | CFTC | 79-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $10000
|
| ACE CAPITAL ADVISORY GROUP INC | CFTC | CV03-8339 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $39194.96
- OTHER (SEE NARRATIVE)
|
| ACE EMERALD W HOLDINGS INC | CFTC | CV03-8339 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $1299.8
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
|
| ANTHONY JOHN COLUMBO INC | NFA | 06BCC00035 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA MEMBERSHIP 12 MTHS
- TEMPORARY BAR FROM PRINCIPAL STATUS 12 MTHS
|
| ACE INVESTMENT STRATEGISTS LLC | NFA | 13BCC00017 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
|
| ALLIED COMMODITIES GROUP LLC | NFA | 10BCC00002 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP PERM
|
| ACG TRADING | CBOT | 06-RFT-041 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ACI CAPITAL GROUP LLC | CFTC | 12-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $420000
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| ACJ CAPITAL INC | NFA | 09BCC00044 |
- SALES PRACTICE
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| ACJ CAPITAL INC | CFTC | 12-CV-01083 |
- CFTC INJUNCTIVE ACTION
|
- FINE $750000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| ACJ CAPITAL INC | CFTC | 11-CV-01419 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $555590
- FINE $1666770
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| MIZUHO SECURITIES USA INC | CFTC | 13-11 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $175000
- COMMISSION ORDER
|
| MIZUHO SECURITIES USA INC | CBOT | 96-RRR-325 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| MIZUHO SECURITIES USA INC | CBOT | 2003-INV-26 |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| MIZUHO SECURITIES USA INC | CBOT | 13-7547-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DONALDSON LUFKIN & JENRETTE FUTURES INC | CFTC | 86-27 |
- CFTC ADMINISTRATIVE ACTION
|
|
| ACM USA LLC | NFA | 09BCC00011 |
- FINANCIAL
|
- FINE $10000
|
| PENINGER MICHAEL DERRICK | CFTC | 2:08-3297 |
- CFTC INJUNCTIVE ACTION
|
- FINE $2400000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| ACREE PARTNERSHIP | CFTC | C-95-279 |
- CFTC INJUNCTIVE ACTION
|
|
| ACRO INFORMATION SERVICE INC | CFTC | CV 01-6926 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| CASTLE TRADING INC | NFA | 06BCC00007 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA INDF
- OTHER--SEE NARRATIVE
|
| CASTLE TRADING INC | NFA | 04BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- FINE (JOINTLY AND SEVERALLY) $10000
- REPORT TO NFA
- ENHANCED PROCEDURES REQUIRED
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| FOREMOST TRADING LLC | CFTC | 13-35 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- CEASE AND DESIST ORDER
- FINE $400000
|
| ADANTIA LLC | NFA | 13BCC00030 |
- SALES PRACTICE
- GENERAL CONDUCT
|
|
| ADDISON FINANCIAL GROUP | CFTC | 07-21267 |
- CFTC INJUNCTIVE ACTION
|
- FINE $3329524.5
- FINE DELINQUENT
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- JOINT OWED
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| ADDISON MANAGEMENT GROUP INC | CFTC | 07-21267 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $3329524.5
- JOINT OWED
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| ADM INVESTOR SERVICES INC | CFTC | SD 97-5 |
- CFTC ADMINISTRATIVE ACTION
|
- CONDITIONALLY REGISTERED
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| ADM INVESTOR SERVICES INC | CFTC | 13-43 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $425000
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| ADM INVESTOR SERVICES INC | CFTC | 09-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $200000
- COMPLAINT FILED
|
| ADM INVESTOR SERVICES INC | CBOT | 97-RFT-022 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ADM INVESTOR SERVICES INC | CBOT | 97-MSR-15B |
- GENERAL CONDUCT
|
- FINE $500
|
| ADM INVESTOR SERVICES INC | CBOT | 97-MSI-007 |
- OFFICE RECORDKEEPING
|
- FINE $10000
|
| ADM INVESTOR SERVICES INC | CBOT | 95-MSI-08 |
- GENERAL CONDUCT
|
- FINE $250
|
| ADM INVESTOR SERVICES INC | CBOT | 90-EX -120 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| ADM INVESTOR SERVICES INC | CBOT | 89-MSI-14 |
- GENERAL CONDUCT
|
- LETTER REPRIMAND
- CEASE AND DESIST
|
| ADM INVESTOR SERVICES INC | CBOT | 88-MSI-01 |
- GENERAL CONDUCT
|
- FINE $500
|
| ADM INVESTOR SERVICES INC | CBOT | 2007-INV-22 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ADM INVESTOR SERVICES INC | CBOT | 1206573CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| ADM INVESTOR SERVICES INC | CBOT | 12-9192-BC |
- TRADE PRACTICE
|
- FINE PAID $3000
- FINE $3000
|
| ADM INVESTOR SERVICES INC | CBOT | 1005483CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADM INVESTOR SERVICES INC | CBOT | 0904321CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADM INVESTOR SERVICES INC | CBOT | 0903546CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADM INVESTOR SERVICES INC | CBOT | 07-RFT-008 |
- FLOOR RECORDKEEPING
|
- FINE $600
|
| ADM INVESTOR SERVICES INC | CBOT | 07-MSR-21 |
- GENERAL CONDUCT
|
- FINE $10000
|
| ADM INVESTOR SERVICES INC | CBOT | 03-RFT-062 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ADM INVESTOR SERVICES INC | CBOT | 02-MSI-32 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| ADM INVESTOR SERVICES INC | CBOT | 00-RFT-89 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ADM INVESTOR SERVICES INC | CME | MS9121 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
|
| ADM INVESTOR SERVICES INC | CME | 953030FP |
- TRADE PRACTICE
|
- FINE $2500
|
| ADM INVESTOR SERVICES INC | CME | 1208735CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| ADM INVESTOR SERVICES INC | CME | 12-9191-BC |
- TRADE PRACTICE
|
- FINE PAID $2500
- FINE $2500
|
| ADM INVESTOR SERVICES INC | CME | 1007644CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADM INVESTOR SERVICES INC | CME | 0906574CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ADM INVESTOR SERVICES INC | CME | 0803919CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ADM INVESTOR SERVICES INC | CME | 0119301BC |
- TRADE PRACTICE
|
- FINE $5000
|
| ADM INVESTOR SERVICES INC | KCBT | SP1207AD |
- FLOOR RECORDKEEPING
|
- FINE PAID $1000
- CEASE AND DESIST
- FINE $1000
|
| ADM INVESTOR SERVICES INC | MGE | 11-I-03 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| ADM INVESTOR SERVICES INC | MGE | 07-I-03 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $250
|
| ADM INVESTOR SERVICES INC | MGE | 04-I-41 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $250
|
| ADM INVESTOR SERVICES INC | MGE | 04-I-25 |
- CLEARING PROCEDURES
|
- FINE $30000
|
| ADM INVESTOR SERVICES INC | MGE | 02I19/02I23 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $4500
|
| ADM INVESTOR SERVICES INC | NYME | 02-17 |
- TRADE PRACTICE
|
- FINE $2500
|
| ADM INVESTOR SERVICES INC | ICE | 2010-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| ADM INVESTOR SERVICES INTERNATIONAL LTD | ICE | 2010-007A |
- TRADE PRACTICE
|
- FINE $7500
- CEASE AND DESIST
|
| BENSON QUINN COMMODITIES INC | NFA | 99BCC00002 |
- NFA GENERAL DISCIPLINARY ACTION
- GENERAL CONDUCT
|
- FINE $10000
|
| BENSON QUINN COMMODITIES INC | NFA | 88BCC00027 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $7500
- CEASE AND DESIST
|
| BENSON QUINN COMMODITIES INC | CFTC | SD 97-6 |
- CFTC ADMINISTRATIVE ACTION
|
- CONDITIONALLY REGISTERED 4 YRS
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| BENSON QUINN COMMODITIES INC | MGE | 02-I-8 |
- CLEARING PROCEDURES
|
- FINE $500
|
| BENSON QUINN COMMODITIES INC | MGE | 02-I-12 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| BENSON QUINN COMMODITIES INC | MGE | 00I35/01I17 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| ADRIAN DAY INVESTMENT ANALYST, LTD. | CFTC | 92-1 |
- CFTC ADMINISTRATIVE ACTION
|
- MAY NOT APPLY TO REGISTER 2 YRS
- COMMISSION ORDER
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| ADVANCED ALGORITHMS INC | NFA | 92BCC00003 |
- GENERAL CONDUCT
|
- FINE $4000
- SUSPENDED FROM MEMBERSHIP 6 MTHS
|
| HOLZWARTH LEE INC | NFA | 88BCC00028 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- CEASE AND DESIST
|
| AG PROCESSING INC. | CBOT | 90-MSI-02A |
- GENERAL CONDUCT
|
- FINE $1000
|
| MF GLOBAL INC | CFTC | 08-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $2000000
- MAY NOT APPLY TO REGISTER
- COMPLAINT FILED
|
| MF GLOBAL INC | CFTC | 07-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- MAKE RESTITUTION TO CUSTMERS
- FINE $120000
- COMPLAINT FILED
|
| MF GLOBAL INC | CBOT | CBOT-07-ETI-06-BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- CEASE AND DESIST
|
| MF GLOBAL INC | CBOT | CBOT-07-73207-BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- CEASE AND DESIST
|
| MF GLOBAL INC | CBOT | CBOT-06-ETE-08-BC |
- TRADE PRACTICE
|
- CEASE AND DESIST
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE PAID $400000
|
| MF GLOBAL INC | CBOT | 99-RFT-208 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 99-RFT-125 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 2006-INV-16 |
- TRADE PRACTICE
|
- FINE $75000
|
| MF GLOBAL INC | CBOT | 2002-INV-5 |
- OFFICE RECORDKEEPING
|
- FINE $7500
|
| MF GLOBAL INC | CBOT | 2001-INV-33C |
- GENERAL CONDUCT
|
- FINE $25000
|
| MF GLOBAL INC | CBOT | 2000-RRI-23 |
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| MF GLOBAL INC | CBOT | 2000-MSI-3 |
- GENERAL CONDUCT
|
- FINE $500
|
| MF GLOBAL INC | CBOT | 1004957CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MF GLOBAL INC | CBOT | 0903225CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MF GLOBAL INC | CBOT | 08-00119-BC |
- GENERAL CONDUCT
- TRADE PRACTICE
- OFFICE RECORDKEEPING
|
- CEASE AND DESIST
- FINE $495000
- FINE PAID $495000
|
| MF GLOBAL INC | CBOT | 07-MSR-023B |
- GENERAL CONDUCT
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 06-RFT-021 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MF GLOBAL INC | CBOT | 06-MSI-35 |
- GENERAL CONDUCT
|
- FINE $25000
|
| MF GLOBAL INC | CBOT | 06-MSI-22 |
- GENERAL CONDUCT
|
- LETTER REPRIMAND
|
| MF GLOBAL INC | CBOT | 05-RFT-060 |
- FLOOR RECORDKEEPING
|
- FINE $3750
|
| MF GLOBAL INC | CBOT | 05-RFT-026 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| MF GLOBAL INC | CBOT | 04-RFT-039 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| MF GLOBAL INC | CBOT | 03-RFT-032 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| MF GLOBAL INC | CBOT | 02-RFT-100 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 02-RFT-050 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MF GLOBAL INC | CBOT | 01-RFT-109 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| MF GLOBAL INC | CBOT | 01-RFT-044 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 01-MSI-48 |
- TRADE PRACTICE
|
- FINE $30000
|
| MF GLOBAL INC | CBOT | 00-RFT-210 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MF GLOBAL INC | CEI | 06-10 |
- TRADE PRACTICE
|
- FINE $1500
- CEASE AND DESIST
|
| MF GLOBAL INC | CME | 1007243CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MF GLOBAL INC | CME | 0905376CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MF GLOBAL INC | CME | 0905365CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MF GLOBAL INC | CME | 0804866CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MF GLOBAL INC | CME | 0803011CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MF GLOBAL INC | CME | 0728135CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| MF GLOBAL INC | CME | 0728018CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MF GLOBAL INC | CME | 0702413CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | CME | 0702409CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | CME | 0702407CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| MF GLOBAL INC | CME | 0627946CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | CME | 0627937CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | CME | 0627936CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | CME | 0626654CTRT |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| MF GLOBAL INC | CME | 0626512CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MF GLOBAL INC | CME | 0526276MS |
- SPECULATIVE POSITION LIMIT
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- CEASE AND DESIST
|
| MF GLOBAL INC | CME | 0526188CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MF GLOBAL INC | CME | 0526105BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $35000
|
| MF GLOBAL INC | CME | 0525654BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $35000
|
| MF GLOBAL INC | CME | 0322392BC |
- TRADE PRACTICE
|
- FINE $20000
|
| MF GLOBAL INC | CME | 0220929CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MF GLOBAL INC | CME | 0119273BC |
- TRADE PRACTICE
|
- FINE $7500
|
| MF GLOBAL INC | CME | 0118903CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MF GLOBAL INC | CME | 0017892CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUSPENDED AMOUNT $1000
- FINE $2500
|
| MF GLOBAL INC | ICE | 2010-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MF GLOBAL INC | ICE | 2010-030 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| MF GLOBAL INC | ICE | 2008-054;2008-060;2008-061 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $250
|
| MF GLOBAL INC | ICE | 2008-009 |
- FINANCIAL
|
- FINE $25000
- CEASE AND DESIST
|
| MF GLOBAL INC | MGE | 07-I-04 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $250
|
| MF GLOBAL INC | MGE | 06-I-09 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| MF GLOBAL INC | NYBT | 2005-056 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
- CEASE AND DESIST
|
| MF GLOBAL INC | NYME | 97-F110 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| MF GLOBAL INC | NYME | 97-F109 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| MF GLOBAL INC | NYME | 03-17 |
- FLOOR RECORDKEEPING
|
- RESTITUTION TO CUSTOMER(S) $2170
- CEASE AND DESIST
- FINE $10000
|
| MF GLOBAL INC | NYME | 03-14 |
- FLOOR RECORDKEEPING
|
- FINE $20000
- CEASE AND DESIST
|
| MF GLOBAL INC | NYME | 01-05 |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $10000
|
| MF GLOBAL INC | NYME | 01-01NA |
- OFFICE RECORDKEEPING
|
- FINE $138694.25
|
| ALLEGHENY GULF INVESTMENT INC | CFTC | H-03-3526 |
- CFTC INJUNCTIVE ACTION
|
- FINE $440000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
|
| BNY CLEARING SERVICES LLC | CBOT | 91-INV-03 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| BNY CLEARING SERVICES LLC | CBOT | 90-RRR-212 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BNY CLEARING SERVICES LLC | CBOT | 89-RRR-219 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BNY CLEARING SERVICES LLC | CBOT | 89-EX -08 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| AMERICAN FX LLC | CFTC | 03-13 |
- CFTC ADMINISTRATIVE ACTION
|
- JOINT OWED
- FINE $15000
- TRADING PRIVILEGES SUSPENDED 5 YRS
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| AMERICAN PRECIOUS METALS LLC | CFTC | 11-CV-61075 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| AMERICAN PREFERRED COMMODITIES APC CORP | CFTC | 8:10-CV-01876 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| AMERICAN PRIVATE EQUITY LLC | CFTC | 11 CIV 5191 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| PEREGRINE FINANCIAL GROUP INC | NFA | 96BCC00014 |
- FINANCIAL
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $75000
- REQUIRED TO TAPE RECORD 2 YRS
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- OTHER--SEE NARRATIVE
|
| PEREGRINE FINANCIAL GROUP INC | NFA | 12MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| PEREGRINE FINANCIAL GROUP INC | NFA | 12BCC00001 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $700000
|
| PEREGRINE FINANCIAL GROUP INC | NFA | 04BCC00009 |
- GENERAL CONDUCT
|
- FINE $5000
- OTHER--SEE NARRATIVE
|
| PEREGRINE FINANCIAL GROUP INC | CFTC | 12-CV-05383 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- STOP SOLICITING
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
|
| PEREGRINE FINANCIAL GROUP INC | CFTC | 00-32 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $90000
- COMMISSION ORDER
|
| AMERICAN NATIONAL TRADING CORP | NFA | 06BCC00034 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| AMERICAN NATIONAL TRADING CORP | NFA | 02BCC00022 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- FINE $10000
|
| ANDERSONS AGRICULTURE GROUP LP THE | CBOT | 2004-MSI-13 |
- GENERAL CONDUCT
|
- FINE $5000
|
| ANDERSONS AGRICULTURE GROUP LP THE | CBOT | 2003-INS-02 |
- GENERAL CONDUCT
|
- FINE $24000
|
| ANDERSONS THE | CBOT | 90-EX -32 |
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| KD ANGLE & COMPANY LP | NFA | 95BCC00017 |
- SALES PRACTICE
|
- RESTRICTIONS ON ACTIVITIES 3 YRS
- FINE $10000
|
| KELLY ANGLE INC | NFA | 95BCC00017 |
- SALES PRACTICE
|
- RESTRICTIONS ON ACTIVITIES 3 YRS
- FINE $10000
|
| ARCHER DANIELS MIDLAND CO | CBOT | 92-MSR-04 |
- SPECULATIVE POSITION LIMIT
- GENERAL CONDUCT
|
- FINE $10000
- CEASE AND DESIST
|
| ARCHER DANIELS MIDLAND CO | CBOT | 06-MSI-061 |
- GENERAL CONDUCT
|
- FINE $25000
|
| DAVID CHRISTIAN ARENA | NFA | 09BCC00058 |
- SALES PRACTICE
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| DAVID CHRISTIAN ARENA | NFA | 08BCC00018 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $25000
|
| RICHARD R ARENS | NYME | 07-F269 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LFG LLC | NFA | 97BCC00010 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- FINE $20000
|
| LFG LLC | CFTC | 90-26 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $45000
|
| LFG LLC | CFTC | 01-19 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| LFG LLC | CBOT | LFG,LLC |
- GENERAL CONDUCT
|
- FINE $5000
|
| LFG LLC | CBOT | 99-RFT-186 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| LFG LLC | CBOT | 99-RFT-101A |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LFG LLC | CBOT | 99-RFT-101 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| LFG LLC | CBOT | 99-MSI-3 |
- CLEARING PROCEDURES
|
- FINE $5000
|
| LFG LLC | CBOT | 98-RFT-155 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| LFG LLC | CBOT | 98-RFT-055 |
- FLOOR RECORDKEEPING
|
- FINE $3250
|
| LFG LLC | CBOT | 98-MSR-37 |
- TRADE PRACTICE
|
- FINE $5000
|
| LFG LLC | CBOT | 97-RFT-155 |
- FLOOR RECORDKEEPING
|
- FINE $1250
|
| LFG LLC | CBOT | 97-RFT-059 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| LFG LLC | CBOT | 96-RRR-381 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LFG LLC | CBOT | 96-RRR-278 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| LFG LLC | CBOT | 96-LTA-278 |
- SPECULATIVE POSITION LIMIT
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| LFG LLC | CBOT | 95-MSI-12B |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| LFG LLC | CBOT | 95-EX-108 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| LFG LLC | CBOT | 94-LTV-03 |
- SPECULATIVE POSITION LIMIT
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| LFG LLC | CBOT | 92-INV-38 |
- GENERAL CONDUCT
|
- FINE $1000
|
| LFG LLC | CBOT | 91-RRR-287 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LFG LLC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| LFG LLC | CBOT | 91-INV-16 |
- FLOOR RECORDKEEPING
|
- FINE $7500
|
| LFG LLC | CBOT | 90-RRR-533 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| LFG LLC | CBOT | 90-INV-60 |
- OFFICE RECORDKEEPING
|
- FINE $6000
|
| LFG LLC | CBOT | 90-EX -133 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| LFG LLC | CBOT | 90-EX -121 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| LFG LLC | CBOT | 89-RRR-296 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| LFG LLC | CBOT | 89-RRR-2 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| LFG LLC | CBOT | 00-SUS-05 |
- FINANCIAL POSITION AND REPORTING
|
- SUSPENDED FROM MEMBERSHIP INDF
|
| LFG LLC | CEI | 99-04 |
- TRADE PRACTICE
|
- FINE $7500
- CEASE AND DESIST
|
| LFG LLC | CEI | 00-10 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE $65000
|
| LFG LLC | CME | 99CH9903 |
- FINANCIAL
|
- FINE $10000
|
| LFG LLC | CME | 95CH9514 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $50000
|
| LFG LLC | CME | 95CH9509 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $25000
|
| LFG LLC | CME | 94CH9411 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| LFG LLC | CME | 90CH9009 |
- FINANCIAL
|
- FINE $10000
|
| LFG LLC | CME | 89CH8925 |
- FINANCIAL POSITION AND REPORTING
- FINANCIAL
|
- FINE $20000
|
| LFG LLC | CME | 0118856CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| LFG LLC | KCBT | SP9908 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1223
|
| LFG LLC | KCBT | SP9518 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LFG LLC | KCBT | SP9402 |
- FLOOR RECORDKEEPING
|
- FINE $400
|
| LFG LLC | MGE | 92-I-22 |
- TRADE PRACTICE
|
- FINE $250
|
| ASSOCIATED FINANCIAL SERVICES INC | CFTC | 87-6895G |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- DISGORGEMENT $0
- PERMANENT INJUNCTION
|
| AVAIL TRADING CORP | NFA | 12BCC00024 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $10000
|
| ATLANTIC FUTURES INC | CFTC | 85-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $100000
- MAY NOT APPLY TO REGISTER
- CEASE AND DESIST ORDER
- TRADING PROHIBITION
- CPO REGISTRATION SUSPENDED 6 MTHS
- CTA REGISTRATION SUSPENDED 6 MTHS
- JOINT OWED
|
| MARSDEN MARK CALHOUN | NFA | 97BCC00004 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| MARSDEN MARK CALHOUN | NFA | 96MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- SUSPENDED FROM MEMBERSHIP
|
| ATLANTIC FUTURES LTD | NFA | 93BCC00008 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $500000
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| B & B COMMODITIES | CFTC | 80-28 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $10000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 1 MTHS
- REGISTRATION SUSPENDED 1 MTHS
|
| BARCLAY FUTURES GROUP LTD THE | NFA | 87BCC00023 |
- NFA GENERAL DISCIPLINARY ACTION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| B P FINANCIAL OF BOSTON INC | NFA | 87BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 80-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $15000
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 77-10 |
- CFTC ADMINISTRATIVE ACTION
|
- JOINT OWED
- FINE $30000
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 12-18 |
- CFTC ADMINISTRATIVE ACTION
|
- DISGORGEMENT $921260.9
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $1600000
- COMMISSION ORDER
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 10-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $780000
- DISGORGEMENT $618526
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 08-12 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $310000
- COMPLAINT FILED
|
| ROSENTHAL COLLINS GROUP LLC | CFTC | 07-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $25000
- COMPLAINT FILED
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | CBOT-08-00730-BC |
- TRADE PRACTICE
|
- FINE $10000
- FINE PAID $10000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | CBOT 08-02483-MS-BC |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $250000
- FINE PAID $250000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 99-RFT-195 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 99-RFT-112 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 98-MSR-07 |
- GENERAL CONDUCT
|
- FINE $5000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 98-INV-24B |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 97-RFT-073 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 96-RRR-393 |
- FLOOR RECORDKEEPING
|
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 96-RRR-283 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 96-MSI-04 |
- GENERAL CONDUCT
|
- FINE $250
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 95-RRR-283 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 95-INV-20 |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 93-FIN-28 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 92-INV-13 |
- GENERAL CONDUCT
|
- FINE $5000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 91-MSI-47A |
- SPECULATIVE POSITION LIMIT
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 90-MSI-63A |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 89-RRR-260 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 89-EX -124 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 89-EX -01 |
- OFFICE RECORDKEEPING
|
- FINE $4000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 2001-INV-31B |
- GENERAL CONDUCT
|
- FINE $15000
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 13-7587-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 0903401CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 07-RFT-059 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 02-RFT-043 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 01-RFT-102 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 00RFT53;53A |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CBOT | 00-RFT-199 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ROSENTHAL COLLINS GROUP LLC | CEI | 33/91 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $3500
- CEASE AND DESIST
|
| ROSENTHAL COLLINS GROUP LLC | CME | 986129FP |
- TRADE PRACTICE
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 97CH9703 |
- CLEARING PROCEDURES
|
- FINE-SUSPENDED AMOUNT $10000
- FINE $25000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 963772CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CME | 94CH9409 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| ROSENTHAL COLLINS GROUP LLC | CME | 12-CH-1205 |
- CLEARING PROCEDURES
|
- FINE WAIVED $12500
- FINE-SUMMARY $25000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 1108191CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ROSENTHAL COLLINS GROUP LLC | CME | 09-CH-0902 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $10000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0702402CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0626382CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0424326BC |
- FLOOR RECORDKEEPING
- SPECULATIVE POSITION LIMIT
- OFFICE RECORDKEEPING
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $175000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0423658CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0423551CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0322391CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0220229CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| ROSENTHAL COLLINS GROUP LLC | CME | 0119741CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ROSENTHAL COLLINS GROUP LLC | CSCE | I93-77 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| ROSENTHAL COLLINS GROUP LLC | CSCE | A94-SP06C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| ROSENTHAL COLLINS GROUP LLC | CSCE | A94-03C |
- FINANCIAL
|
- FINE $1000
|
| ROSENTHAL COLLINS GROUP LLC | ICE | CASE NO. 2012-056 |
- FLOOR RECORDKEEPING
|
- FINE PAID $3000
|
| ROSENTHAL COLLINS GROUP LLC | NYCE | 97-021 |
- TRADE PRACTICE
|
- FINE $100
|
| ROSENTHAL COLLINS GROUP LLC | NYCE | 91-D19 |
- DECORUM AND ATTIRE
|
- FINE $100
|
| ROSENTHAL COLLINS GROUP LLC | NYME | RSRH-12-1214 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| B&F TRADING | CFTC | 1:00CV0300 |
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- COST AWARD
- RETURN FUNDS
- STOP SOLICITING
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- PERMANENT INJUNCTION
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 98-RFT-071 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 97-RFT-171 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 97-RFT-075 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 95-RRR-262 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 93-RRR-111C |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 92-RRR-104 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 92-MSI-49 |
- GENERAL CONDUCT
|
- FINE $2500
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 91-EX -31 |
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 90-RRR-376 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 89-RRR-293 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 89-EX -39 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 88-FIN-55 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| BANC OF AMERICA FINANCE SERVICES INC | CBOT | 87-EX -48 |
- GENERAL CONDUCT
|
- FINE $1000
|
| BANC OF AMERICA FINANCE SERVICES INC | CME | 99CH9907 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| BANC OF AMERICA FINANCE SERVICES INC | CME | 89CH8928 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1500
|
| BANC OF AMERICA FINANCE SERVICES INC | CME | 00CH0002 |
- FINANCIAL
|
- FINE $25000
|
| BACERA CORPORATION | NFA | 07BCC00022 |
- FINANCIAL
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $50000
|
| JEFFERIES BACHE LLC | CBOT | 13-7585-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| JEFFERIES BACHE LLC | CBOT | 09-CH-0901 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| JEFFERIES BACHE LLC | CME | 13-7584-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| JEFFERIES BACHE LLC | CME | 0803667CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| JEFFERIES BACHE LLC | CME | 0322359BC |
- TRADE PRACTICE
|
- FINE $5000
|
| JEFFERIES BACHE LLC | ICE | 2012-003 |
- TRADE PRACTICE
|
- FINE-SUMMARY $2500
|
| JEFFERIES BACHE LLC | ICE | 2010-073 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| JEFFERIES BACHE LLC | ICE | 2010-051 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| JEFFERIES BACHE LLC | MGE | 10-I-21 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| JEFFERIES BACHE LLC | MGE | 06-I-04 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| PRUDENTIAL EQUITY GROUP LLC | CFTC | 97-8 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- DISMISSED
- OTHER (SEE NARRATIVE)
- FINE $65000
|
| PRUDENTIAL EQUITY GROUP LLC | CFTC | 95-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $725000
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| PRUDENTIAL EQUITY GROUP LLC | CFTC | 92-29 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $240000
- COMMISSION ORDER
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| PRUDENTIAL EQUITY GROUP LLC | CFTC | 84-40 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $15000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 98-RFT-160 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 97-RFT-064 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 96-RRR-402 |
- FLOOR RECORDKEEPING
|
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 96-RRR-311 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 94-RRR-362 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 91-INV-05 |
- OFFICE RECORDKEEPING
|
- FINE $25000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 90-RRR-286 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 90-MSI-73 |
- GENERAL CONDUCT
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 89-MSR-12 |
- TRADE PRACTICE
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 89-FIN-29 |
- REGISTRATION
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 89-EX-07 |
- GENERAL CONDUCT
|
- FINE $25000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 89-EX -07 |
- GENERAL CONDUCT
|
- FINE $25000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 88-FIN-18 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 88-FIN-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 87-EX -251 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 87-EX -12 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $25000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 2000-INV-11B |
- GENERAL CONDUCT
|
- FINE $10000
|
| PRUDENTIAL EQUITY GROUP LLC | CBOT | 00-RFT-047 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CME | 91140BC |
- FLOOR RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- UNDERTAKING
- FINE $35000
|
| PRUDENTIAL EQUITY GROUP LLC | CSCE | I94-76 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PRUDENTIAL EQUITY GROUP LLC | CSCE | I91-25 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $2500
|
| PRUDENTIAL EQUITY GROUP LLC | CSCE | CSCE 1998-39 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
- CEASE AND DESIST
|
| PRUDENTIAL EQUITY GROUP LLC | MGE | 03I11/03I35 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $3000
|
| PRUDENTIAL EQUITY GROUP LLC | NYFE | OT-5 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5
|
| PRUDENTIAL EQUITY GROUP LLC | NYFE | OT-2 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $50
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | APP. 93-1 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2000
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | 94-06 |
- GENERAL CONDUCT
|
- FINE $10000
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | 93-31 |
- SPECULATIVE POSITION LIMIT
|
- FINE $20000
- CEASE AND DESIST
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | 92-79 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | 91-51 |
- FINANCIAL
|
- FINE $15000
|
| PRUDENTIAL EQUITY GROUP LLC | NYME | 90-F50 |
- GENERAL CONDUCT
|
- FINE $500
|
| BACHMAN & ASSOCIATES | NFA | 83BCC00004 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
- CEASE AND DESIST
|
| BACHUS & STRATTON COMMODITIES INC | NFA | 92MRA00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| BACHUS & STRATTON COMMODITIES INC | NFA | 92BCC00015 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $250000
- EXPELLED FROM MEMBERSHIP
|
| BACHUS & STRATTON COMMODITIES INC | CFTC | 94-2 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- COMMISSION ORDER
- CPO REGISTRATION REVOKED
- FCM REGISTRATION REVOKED
|
| BACHUS & STRATTON COMMODITIES INC | CFTC | 92-6427 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- COMPLAINT FILED
- PERMANENT INJUNCTION
|
| BACK BAY FX SERVICES LLC | NFA | 10BCC00022 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $10000
|
| BADGLEY FUNDS, INC | CFTC | CIV-98-3316 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- OTHER (SEE NARRATIVE)
- FINE $15792753
- DISGORGEMENT $5264251
- DEFAULT ORDER
- ACCOUNT ORDER
- STOP SOLICITING
- FREEZE ASSETS
- PERMANENT INJUNCTION
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- ACCESS BOOKS
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- PRELIMINARY INJUNCTION
- OTHER (SEE NARRATIVE)
- RECEIVERSHIP
- DEFAULT ORDER
- FREEZE ASSETS
- ACCESS BOOKS
- STOP SOLICITING
- DISGORGEMENT $5264251
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- JOINT OWED
- FINE $15792753
- PRELIMINARY INJUNCTION
|
| BADGLEY FUNDS, INC | CFTC | CIV-98-3316 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- OTHER (SEE NARRATIVE)
- FINE $15792753
- DISGORGEMENT $5264251
- DEFAULT ORDER
- ACCOUNT ORDER
- STOP SOLICITING
- FREEZE ASSETS
- PERMANENT INJUNCTION
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- ACCESS BOOKS
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- PRELIMINARY INJUNCTION
- OTHER (SEE NARRATIVE)
- RECEIVERSHIP
- DEFAULT ORDER
- FREEZE ASSETS
- ACCESS BOOKS
- STOP SOLICITING
- DISGORGEMENT $5264251
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- JOINT OWED
- FINE $15792753
- PRELIMINARY INJUNCTION
|
| JAMES CHARLES BAFIA | CBOT | 1004762CTRE |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| JAMES CHARLES BAFIA | CBOT | 0904389CTRE |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $250
|
| JAMES CHARLES BAFIA | CBOT | 04-RIT-025A |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| PHILLIP MARTIN BAKER | NFA | 09BCC00023 |
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 2 YRS
- FINE (CONTINGENT) $15000
- TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS
|
| BALDWIN COMMODITIES CORP | CBOT | 89-RRR-295 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| ELIZABETH CARTER BALDWIN | CFTC | 07 CV 10270 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- DEFAULT ORDER
- FINE $360000
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| BALFOUR MACLAINE FUTURES INC | CFTC | 90-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| BALFOUR MACLAINE FUTURES INC | CFTC | 88-28 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $15000
|
| BALFOUR MACLAINE FUTURES INC | CFTC | 81-2431 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 91-INV-01 |
- OFFICE RECORDKEEPING
|
- FINE $10000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 90-MSI-56 |
- GENERAL CONDUCT
|
- FINE $5000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 90-MSI-16 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 90-MSI-10 |
- OFFICE RECORDKEEPING
|
- FINE $1500
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 90-INV-22 |
- TRADE PRACTICE
- SALES PRACTICE
|
- FINE $20000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 89-INV-14 |
- GENERAL CONDUCT
- TRADE PRACTICE
- REGISTRATION
|
- FINE $15000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 89-EX -35 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $10000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 89-EX -186 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 89-EX -175 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $5000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 88-EX -235 |
- OFFICE RECORDKEEPING
|
- FINE $1500
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 88-EX -185 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 88-EX -184 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 88-EX -150 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CBOT | 88-EX -149 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BALFOUR MACLAINE FUTURES INC | CME | MS9017 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $7500
|
| SFH COCOA LTD | CFTC | 90-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| SFH COCOA LTD | CSCE | I88-114 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $25000
|
| BALLY LINES LTD | CFTC | 8:07-CV-01658 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- DISGORGEMENT $52000
- JOINT OWED
- PERMANENT INJUNCTION
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| BALOGH JAMES JR | NFA | 93MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
|
| BALOGH JAMES JR | NFA | 93BCC00011 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| BANC DE BINARY | CFTC | 13-CV-00992 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 98-RFT-203 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 98-RFT-104 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 96-RRR-229 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 92-RRR-108 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 89-RRR-277 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 89-INV-14 |
- GENERAL CONDUCT
- TRADE PRACTICE
- REGISTRATION
|
- FINE $3000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 00-RFT-075 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CME | 921093FP |
- TRADE PRACTICE
|
- FINE $2500
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 1-RFT-54/117 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| BANC ONE BROKERAGE INTERNATIONAL CORP | CBOT | 01-RFT-054 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| BANC ONE CAPITAL MARKETS INC | CBOT | 2002-MSI-18 |
- CLEARING PROCEDURES
|
- FINE $10000
|
| BANCO NATIONAL DE MEXICO SNC | CBOT | 89-FIN-85 |
- REGISTRATION
|
- FINE $5000
|
| BANCO NATIONAL DE MEXICO SNC | CBOT | 89-FIN-27 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| BANCO NATIONAL DE MEXICO SNC | CBOT | 89-FIN-118 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CFTC | 88-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CFTC | 86-8 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $35000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 90-EX -215 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 89-INV-39 |
- TRADE PRACTICE
|
- FINE $30000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 89-FIN-23 |
- GENERAL CONDUCT
|
- FINE $250000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 2006-INV-11 |
- TRADE PRACTICE
|
- FINE $10000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 1004690CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 0903975CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 0903370CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 09-06299-BC; CBOT 10-7427-BC |
- TRADE PRACTICE
|
- FINE PAID $190000
- FINE $190000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 0802497CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 05-RFT-034; 05-RFT-062 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 03-MSI-10 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 02-RFT-091 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 02-RFT-037 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CBOT | 02-MSI-24 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 13-7524-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 1108270CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 10-7427-BC |
- TRADE PRACTICE
|
- FINE PAID $60000
- FINE $60000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 0804756CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 0804212CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | CME | 0423943CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MERRILL LYNCH PIERCE FENNER & SMITH | ICE | 2012-053 |
- TRADE PRACTICE
|
- FINE PAID $10000
- CEASE AND DESIST
|
| BANK OF AMERICA NA | CBOT | 2004-INV-12B |
- TRADE PRACTICE
|
- FINE $20000
|
| BT FUTURES CORPORATION | CBOT | 97-RFT-139 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| BNP PARIBAS | NYME | 06-19 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE $1500
|
| ROYAL BANK OF CANADA | CFTC | 12 CIV 2497 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| BARAL CORPORATION | CFTC | 83-CV-1885 |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- PERMANENT INJUNCTION
- RETURN FUNDS
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- FREEZE ASSETS
|
| BARBASHOP LLC THE | NFA | 10BCC00017 |
- PROMOTIONAL MATERIAL
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $35000
|
| BARBASHOP LLC THE | NFA | 09BCC00006 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $20000
|
| BARCLAY COMMODITIES CORPORATION | CFTC | 78-1069 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- PERMANENT INJUNCTION
|
| BARCLAY TRADING GROUP LTD | NFA | 88BCC00024 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- FINE $8250
|
| BARCLAY METALS INC | CFTC | 13-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PROHIBITION 5 YRS
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| BARCLAYS CAPITAL INC | CFTC | 12-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $200000000
|
| BARCLAYS CAPITAL INC | CBOT | CBOT-08-00060-BC |
- TRADE PRACTICE
|
- FINE $5000
- FINE PAID $5000
|
| BARCLAYS CAPITAL INC | CBOT | CBOT-08-00002-BC |
- TRADE PRACTICE
|
- FINE $15000
- FINE PAID $15000
|
| BARCLAYS CAPITAL INC | CBOT | 89-EX -47 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| BARCLAYS CAPITAL INC | CBOT | 2005-INV-29 AND 40 |
- TRADE PRACTICE
|
- FINE $20000
|
| BARCLAYS CAPITAL INC | CBOT | 11-8645-BC |
- TRADE PRACTICE
|
- FINE $10000
|
| BARCLAYS CAPITAL INC | CBOT | 0903903CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| BARCLAYS CAPITAL INC | CBOT | 09-06303-BC; 11-8047-BC; 11-8186-BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE PAID $45000
|
| BARCLAYS CAPITAL INC | CBOT | 02MSI10,17 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $15000
|
| BARCLAYS CAPITAL INC | ICE | 2013-035 |
- OFFICE RECORDKEEPING
|
- FINE PAID $7500
|
| BARCLAYS CAPITAL INC | ICE | 2011-025 |
- TRADE PRACTICE
|
- FINE-SUMMARY $5000
|
| BARCLAYS CAPITAL INC | NYL | 2010-TP101 |
- CLEARING PROCEDURES
- GENERAL CONDUCT
|
- LETTER WARNING
|
| BARCLAYS CAPITAL INC | NYME | 05-13 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $150000
- CEASE AND DESIST
|
| BARCLAYS CAPITAL INC | XEUS | 05-03 |
- TRADE PRACTICE
- FINANCIAL POSITION AND REPORTING
|
- FINE $3000
|
| BARCLAYS BANK PLC | CFTC | 12-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $200000000
|
| BLACKROCK INSTITUTIONAL TRUST COMPANY NA | CFTC | 12-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $250000
- COMMISSION ORDER
|
| BARCLAYS PLC | CFTC | 12-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $200000000
|
| MONEY TRADING GROUP | NFA | 88BCC00038 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 2 YRS
|
| BARKI LLC | CFTC | 3:09CV106 |
- CFTC INJUNCTIVE ACTION
|
- FINE $20944707
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| BARKLEY FINANCIAL CORP | NFA | 98BCC00005 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $75000
|
| BARKLEY FINANCIAL CORP | NFA | 05BCC00020 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- FINE $1000000
- PERMANENT BAR FROM NFA MEMBERSHIP
- AFFIRMED ON APPEAL - APPEALS COMMITTEE
|
| BARKLEY FINANCIAL CORP | NFA | 02BCC00001 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED 1 YRS
- FINE (JOINTLY AND SEVERALLY) $445000
- OTHER--SEE NARRATIVE
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| BARNES & CO | CBOT | 89-INV-14 |
- GENERAL CONDUCT
- TRADE PRACTICE
- REGISTRATION
|
- FINE $10000
|
| BARNES & CO | CBOT | 88-EX -06 |
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| BARNES & CO | NYCE | 90-017 |
- GENERAL CONDUCT
|
- FINE $2000
- CEASE AND DESIST
|
| BARRETT BELL INVESTMENT CORPORATION | CFTC | 93-C1022E |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- PROTECT BOOKS
|
| DIVERSIFIED MANAGEMENT SERVICES CORP | CFTC | 90-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES REVOKED
|
| BARRY CALLEBAUT SOURCING AG | CFTC | 04-16 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $25000
- CEASE AND DESIST ORDER
|
| WOLF COMMODITIES CORP INC | NFA | 98REG00019 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| WOLF COMMODITIES CORP INC | NFA | 97AWD00019 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| WOLF COMMODITIES CORP INC | NFA | 97AWD00017 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| WOLF COMMODITIES CORP INC | NFA | 97AWD00014 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| WOLF COMMODITIES CORP INC | NFA | 96BCC00017 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $150000
- EXPELLED FROM MEMBERSHIP
|
| BARTEX PETROLEUM CORP | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| CALIFORNIA MANAGED ACCOUNTS INC | NFA | 92BCC00032 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| BARTONE BROKERAGE CORP | CFTC | 88-34 |
- CFTC ADMINISTRATIVE ACTION
|
- IB REGISTRATION REVOKED
|
| WELLS FARGO ADVISORS LLC | CME | 07-01119-BC |
- GENERAL CONDUCT
|
- FINE $5000
- FINE PAID $5000
|
| BATES UNDERWOOD & CO INC | CFTC | 79-03851 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| DAVID JAMES BATSON | NFA | 04REG00001 |
- NFA REGISTRATION ACTION
|
- REGISTRATION RESTRICTIONS AND CONDITIONS LIFTED
- REGISTRATION CONDITIONED
|
| RANDOLPH GALE | CFTC | 04-08889 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
|
| JP MORGAN SECURITIES LLC | CFTC | 92-5 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $250000
|
| JP MORGAN SECURITIES LLC | CFTC | 86-28 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $80000
|
| JP MORGAN SECURITIES LLC | CFTC | 80-31 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $80000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED
|
| JP MORGAN SECURITIES LLC | CFTC | 12-14 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $140000
- COMMISSION ORDER
|
| JP MORGAN SECURITIES LLC | CBOT | 91-RRR-281 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| JP MORGAN SECURITIES LLC | CBOT | 89-RRR-283 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| JP MORGAN SECURITIES LLC | CBOT | 88-RRR-50 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| JP MORGAN SECURITIES LLC | CBOT | 86-FIN-11 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| JP MORGAN SECURITIES LLC | CBOT | 13-9226 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $3000
|
| JP MORGAN SECURITIES LLC | CEI | RSRH-13-1935 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| JP MORGAN SECURITIES LLC | CEI | RSRH-12-1134 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| JP MORGAN SECURITIES LLC | CME | RSRH-13-1932 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| JP MORGAN SECURITIES LLC | CME | 13-9239 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| JP MORGAN SECURITIES LLC | CME | 13-9228 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| JP MORGAN SECURITIES LLC | CME | 11-8036-BC |
- TRADE PRACTICE
|
- FINE $10000
- FINE PAID $10000
|
| JP MORGAN SECURITIES LLC | ICE | 2010-071 |
- SPECULATIVE POSITION LIMIT
|
- FINE $50000
- CEASE AND DESIST
|
| JP MORGAN SECURITIES LLC | ICE | 2009-055 |
- TRADE PRACTICE
|
- FINE $20000
- CEASE AND DESIST
|
| JP MORGAN SECURITIES LLC | MGE | 13-I-48 |
- FINANCIAL
|
- WARNING LETTER
|
| JP MORGAN SECURITIES LLC | NYME | RSRH-12-1133 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| JP MORGAN SECURITIES LLC | NYME | 13-9434-BC JP MORGAN SECURITIES |
- TRADE PRACTICE
|
- FINE PAID $8000
|
| JP MORGAN SECURITIES LLC | NYME | 13-9227 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| JP MORGAN SECURITIES LLC | NYME | 12-08778-BC - J.P. MORGAN SECURITIES |
- TRADE PRACTICE
|
- FINE PAID $65000
|
| JP MORGAN SECURITIES LLC | NYME | 11-08682-BC - J.P. MORGAN SECURITIES |
- TRADE PRACTICE
|
- FINE PAID $65000
|
| JP MORGAN SECURITIES LLC | ICE | 2011-068 |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| BEDDOWS COMMODITIES INC | NFA | 90BCC00037 |
- FINANCIAL
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $5000
|
| WILLIAM SUMNER SCOTT | NFA | 10REG00026 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| BLACK FLAG CAPITAL PARTNERS LLC | NFA | 07BCC00029 |
- FINANCIAL POSITION AND REPORTING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA MEMBERSHIP 30 MTHS
- FINE $
|
| BLJ CONSULTING CORP | CFTC | 03 CV 9126 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $684161
- ACCOUNT ORDER
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- ACCESS BOOKS
- RESTRAINING ORDER
- PROTECT BOOKS
- COMPLAINT FILED
|
| BLUEFIRE CAPITAL LLC | CME | 10-06741-BC |
- TRADE PRACTICE
|
- FINE PAID $150000
- FINE $150000
|
| BOSTON TRADING ADVISORS LLC | CFTC | 04-03 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $10000
- JOINT OWED
- COMPLAINT FILED
|
| BOSTON TRADING GROUP INC | CFTC | 82-0305 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- DISGORGEMENT $0
|
| BOSTON TRADING GROUP INC | CFTC | 81-22 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $50000
|
| BOSTON TRADING GROUP INC | CFTC | 81-1809 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| BOYKIN, ROD | CFTC | 99-6 |
- CFTC ADMINISTRATIVE ACTION
- CFTC ADMINISTRATIVE ACTION
|
- ALJ ORDER
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- DISMISSED
- JOINT OWED
- FINE $100000
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- DISMISSED
- FINE $100000
- COMMISSION ORDER
- ALJ ORDER
|
| BOYKIN, ROD | CFTC | 99-6 |
- CFTC ADMINISTRATIVE ACTION
- CFTC ADMINISTRATIVE ACTION
|
- ALJ ORDER
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- DISMISSED
- JOINT OWED
- FINE $100000
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- DISMISSED
- FINE $100000
- COMMISSION ORDER
- ALJ ORDER
|
| BRADSHAW JAMES WILLIAM | CFTC | 98-6 |
- CFTC ADMINISTRATIVE ACTION
|
- ALJ ORDER
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- FINE $50000
- MAKE RESTITUTION TO CUSTMERS
|
| BRICKELL KEY FINANCIAL LLC | CFTC | 04-22549 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- FINE $360000
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| BULLSEYE INTERNATIONAL, INC. | CFTC | 95-6970 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- ACCOUNT ORDER
- PROTECT BOOKS
- ACCESS BOOKS
- RECEIVERSHIP
- FREEZE ASSETS
|
| BULLTICK LLC | NFA | 05BCC00027 |
- FINANCIAL
|
- FINE $10000
|
| BURNETT & HOLDEN INC | NFA | 90REG00038 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| BURNETT & HOLDEN INC | NFA | 89MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| CHULIK MARK | CFTC | SD-00-02 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- REGISTRATION REVOKED
|
| C & G FUTURES MANAGEMENT INC | NFA | 91REG00020 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| C & R FINANCIAL GROUP | CFTC | 10-CV-00706 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $5070000
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| CURRY JESSE M | NFA | 92BCC00027 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- FINE $10000
|
| CRESTWOOD CAPITAL MANAGEMENT INC | NFA | 88BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| C CZARNIKOW SUGAR FUTURES INC | CSCE | A91-06C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $3500
|
| C CZARNIKOW SUGAR FUTURES INC | NYME | 91-54 |
- FINANCIAL
|
- FINE $15000
|
| COMMODITY FUTURES & OPTIONS SERVICE INC | NFA | 09BCC00039 |
- FINANCIAL
- REGISTRATION
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| COMMODITY FUTURES & OPTIONS SERVICE INC | NFA | 06BCC00044 |
- GENERAL CONDUCT
|
- FINE $5000
|
| CAROLE ANN WERTHEIM | NFA | 95BCC00005 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 2 YRS
- ENHANCED PROCEDURES REQUIRED 2 YRS
- REQUIRED TO TAPE RECORD 2 YRS
|
| C&M TRADERS INC | NFA | 01BCC00012 |
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| C.O.M. CONSULTANTS, INC. | CFTC | CIV 97-4443 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $10300000
- TRADING PROHIBITION
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- FREEZE ASSETS
|
| C4S & CO LLC | NFA | 06BCC00026 |
- GENERAL CONDUCT
|
- FINE $15000
|
| CA NI INDUSTRIES LTD | CFTC | 99 C 6425 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION PERM
- MAY NOT APPLY TO REGISTER PERM
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- FREEZE ASSETS
- PRELIMINARY INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- COMPLAINT FILED DAYS
- OTHER (SEE NARRATIVE)
|
| COM TECH SYSTEMS LTD | CFTC | 88-12 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
|
| CADALLY FUTURES | NFA | 04BCC00007 |
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| CADDEN & CO INC WILLIAM M | NFA | 85BCC00003 |
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
- CEASE AND DESIST
|
| CADDEN & CO INC WILLIAM M | NFA | 83BCC00011 |
- FINANCIAL
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
- CEASE AND DESIST
|
| CADENT FINANCIAL SERVICES LLC | CFTC | 11-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $125000
- COMPLAINT FILED
|
| CADENT FINANCIAL SERVICES LLC | CFTC | 09-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $120000
- COMPLAINT FILED
|
| CADENT FINANCIAL SERVICES LLC | CME | 0906170CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| CADENT FINANCIAL SERVICES LLC | CME | 0803399CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CADENT FINANCIAL SERVICES LLC | CME | 0700394CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $3500
|
| CADENT FINANCIAL SERVICES LLC | CME | 0626742CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CADENT FINANCIAL SERVICES LLC | CME | 0526276MS |
- SPECULATIVE POSITION LIMIT
|
- CEASE AND DESIST
|
| CADENT FINANCIAL SERVICES LLC | CME | 0423663-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| CHRISTOPHER C CADY | NFA | 13REG00026 |
- NFA REGISTRATION ACTION
|
- OTHER--SEE NARRATIVE
|
| CHRISTOPHER C CADY | ICE | 2010-049A |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE PAID $10000
- SUSPENSION OF EXECUTION OF CUSTOMER ORDERS 1 YRS
- SUSPENSION - PERSONAL TRADING PRIVILEGES 1 YRS
- SUSPENDED FROM MEMBERSHIP 1 YRS
|
| CHRISTOPHER C CADY | ICE | 2008-040;2008-048;2008-058 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $3000
|
| CHRISTOPHER C CADY | NYFE | TC-7 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $80
|
| CHRISTOPHER C CADY | NYFE | TC-4 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $40
|
| CHRISTOPHER C CADY | NYFE | TC-3 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $20
|
| CHRISTOPHER C CADY | NYFE | TC-2 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $225
|
| CHRISTOPHER C CADY | NYFE | F92-4 |
- TRADE PRACTICE
|
- FINE $1500
|
| CAFÉ NORD CORPORATION | CFTC | 03-23 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $10000
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| JOHN LOUIS CAIAZZO | NFA | 95BCC00002 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 3 YRS
|
| CAL FINANCIAL CORPORATION | NFA | 07BCC00004 |
- GENERAL CONDUCT
- FINANCIAL
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| FISHER FINANCIAL GROUP INC | NFA | 90REG00036 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| FISHER FINANCIAL GROUP INC | NFA | 90BCC00039 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| FISHER FINANCIAL GROUP INC | NFA | 89MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| FISHER FINANCIAL GROUP INC | NFA | 89BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- SUSPENDED FROM MEMBERSHIP 2 YRS
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- OTHER--SEE NARRATIVE
|
| CALATRAVA SECURITIES LLC | NFA | 11BCC00040 |
- GENERAL CONDUCT
- FINANCIAL
|
- FINE $20000
|
| CALIBER FINANCIAL GROUP LTD | NFA | 91BCC00021 |
- SALES PRACTICE
- FINANCIAL POSITION AND REPORTING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| EDGAR ISRRAEL PAREDES | NFA | 11BCC00004 |
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $15000
- REQUIRED TO TAPE RECORD 6 MTHS
- TEMPORARY BAR FROM PRINCIPAL STATUS 4 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 4 YRS
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 4 YRS
|
| CALIFORNIA CAPITAL TRADING GROUP LLC | NFA | 11BCC00004 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| CALIFORNIA COMMODITY FUTURES INTL | CFTC | SD-96-2 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- ALJ ORDER
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
|
| CALIFORNIA COMMODITY FUTURES INTL | CFTC | 94-7910 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $151000
- JOINT OWED
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- COMPLAINT FILED
- FREEZE ASSETS
|
| CALIFORNIA TRADERS GROUP | CFTC | 97-0777 |
- CFTC INJUNCTIVE ACTION
|
- FINE $125000
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- RETURN FUNDS
- FREEZE ASSETS
- MAKE RESTITUTION TO CUSTMERS
|
| CALPINE ENERGY SERVICES LP | CFTC | 04-11 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $1500000
- COMPLAINT FILED
- MAY NOT APPLY TO REGISTER
- COMMISSION ORDER
|
| CALVARY CURRENCIES LLC | CFTC | 8:04-CV-0102 |
|
- OTHER (SEE NARRATIVE)
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- FINE $50000
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- COMPLAINT FILED
|
| CALVARY FINANCIAL GROUP LLC | NFA | 02BCC00005 |
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| NEWEDGE FINANCIAL INC | CFTC | 03-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $75000
- COMMISSION ORDER
|
| NEWEDGE FINANCIAL INC | CBOT | 99-RFT-120 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CBOT | 98-RFT-177 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CBOT | 98-RFT-077 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| NEWEDGE FINANCIAL INC | CBOT | 97-RFT-177 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEWEDGE FINANCIAL INC | CBOT | 96-RRR-365 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CBOT | 95-RRR-276 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEWEDGE FINANCIAL INC | CBOT | 94-RRR-360 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| NEWEDGE FINANCIAL INC | CBOT | 92-RRR-433 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| NEWEDGE FINANCIAL INC | CBOT | 92-RRR-268 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEWEDGE FINANCIAL INC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CBOT | 2004-INV-20 |
- TRADE PRACTICE
|
- FINE $10000
|
| NEWEDGE FINANCIAL INC | CBOT | 0802633CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| NEWEDGE FINANCIAL INC | CBOT | 05-MSI-52 |
- GENERAL CONDUCT
|
- FINE $2500
|
| NEWEDGE FINANCIAL INC | CBOT | 04-RFT-038 |
- FLOOR RECORDKEEPING
|
- FINE $1200
|
| NEWEDGE FINANCIAL INC | CBOT | 03-RFT-082 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| NEWEDGE FINANCIAL INC | CBOT | 01-RFT-040 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEWEDGE FINANCIAL INC | CEI | 07-24 CALYON |
- TRADE PRACTICE
|
- FINE $12500
- CEASE AND DESIST
|
| NEWEDGE FINANCIAL INC | CME | 99CH9906 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $25000
|
| NEWEDGE FINANCIAL INC | CME | 99CH9904 |
- CLEARING PROCEDURES
|
- FINE-SUSPENDED AMOUNT $2000
- FINE $2000
|
| NEWEDGE FINANCIAL INC | CME | 9917271BC |
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| NEWEDGE FINANCIAL INC | CME | 98CH9802 |
- FINANCIAL
|
- FINE $50000
|
| NEWEDGE FINANCIAL INC | CME | 985941FP |
- TRADE PRACTICE
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CME | 985443CTRT |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| NEWEDGE FINANCIAL INC | CME | 0803668CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE FINANCIAL INC | CME | 08-02780-BC |
- TRADE PRACTICE
|
- FINE $15000
- FINE PAID $15000
|
| NEWEDGE FINANCIAL INC | CME | 0423379CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | CME | 0322279BC |
- TRADE PRACTICE
|
- FINE $7500
|
| NEWEDGE FINANCIAL INC | CME | 0220105CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE FINANCIAL INC | NYME | 07-27 CALYON FINANCIAL INC. |
- TRADE PRACTICE
|
- FINE $100000
- CEASE AND DESIST
|
| NEWEDGE FINANCIAL INC | NYME | 07-12 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE $10000
|
| NEWEDGE FINANCIAL INC | NYME | 05-27 |
- GENERAL CONDUCT
|
- FINE $7500
- CEASE AND DESIST
|
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | CBOT | 11-8101-BC |
- SPECULATIVE POSITION LIMIT
|
- DISGORGEMENT $119840
- FINE $20000
- FINE PAID $20000
- DISGORGEMENT PAID $119840
|
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | IOTC | 10-00123 |
- SPECULATIVE POSITION LIMIT
|
- DISGORGEMENT PAID $64000
- CEASE AND DESIST
|
| CAMBRIDGE CAPITAL GROUP LLC | NFA | 13BCC00011 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| CAMBRIDGE CURRENCY PARTNERS | CFTC | 13-CV-00477 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- FINE $1365294
- MAY NOT OPERATE AS PRINCIPAL
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
|
| CAMBRIDGE GLOBAL GROUP | CFTC | CV 03 1826 |
- CFTC INJUNCTIVE ACTION
|
- FINE $15963433
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- JOINT OWED
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| CAMEO TRADING INC | ICE | 2008-070 |
- TRADE PRACTICE
|
- FINE $38000
- CEASE AND DESIST
|
| CAMEO TRADING INC | ICE | 2008-064 |
- TRADE PRACTICE
|
- FINE $38000
- CEASE AND DESIST
|
| CAMPBELL J S & CO INC | CFTC | 88-24 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 240 MTHS
|
| SOLID GOLD FINANCIAL SERVICES INC | NFA | 07BCC00046 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $35000
|
| CANI FINANCIAL ADVISORS LLC | NFA | 09BCC00040 |
- REGISTRATION
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
- FINE (CONTINGENT) $15000
- TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS
|
| CANION BOEKI COMPANY LTD | CFTC | 90-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $75000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 24 MTHS
|
| CANTOR FITZGERALD & CO | NFA | 86BCC00030 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $2500
|
| CANTOR FITZGERALD & CO | CFTC | 94-14 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $500000
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| CANTOR FITZGERALD & CO | CFTC | 13-06 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $700000
- COMMISSION ORDER
|
| CANTOR FITZGERALD & CO | CFTC | 11-08 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $100000
- COMPLAINT FILED
|
| CANTOR FITZGERALD & CO | CBOT | 99-RFT-228 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| CANTOR FITZGERALD & CO | CBOT | 98-RFT-072 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| CANTOR FITZGERALD & CO | CBOT | 97-RFT-76 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| CANTOR FITZGERALD & CO | CBOT | 97-RFT-172 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CANTOR FITZGERALD & CO | CBOT | 96-RRR-360 |
- FLOOR RECORDKEEPING
|
|
| CANTOR FITZGERALD & CO | CBOT | 96-RRR-260 |
- FLOOR RECORDKEEPING
|
|
| CANTOR FITZGERALD & CO | CBOT | 95-RRR-402 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CANTOR FITZGERALD & CO | CBOT | 95-RRR-299 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| CANTOR FITZGERALD & CO | CBOT | 93-RRR-402 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CANTOR FITZGERALD & CO | CBOT | 12-CH-1203 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $100000
|
| CANTOR FITZGERALD & CO | CBOT | 06-RMS-090 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| CANTOR FITZGERALD & CO | CBOT | 06-RFT-028 |
- FLOOR RECORDKEEPING
|
- FINE $1300
|
| CANTOR FITZGERALD & CO | CBOT | 04-RFT-076 |
- FLOOR RECORDKEEPING
|
- FINE $1800
|
| CANTOR FITZGERALD & CO | CBOT | 03-RFT-035 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CANTOR FITZGERALD & CO | CBOT | 02-RFT-108 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| CANTOR FITZGERALD & CO | CBOT | 02-RFT-060 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| CANTOR FITZGERALD & CO | CBOT | 00-EX-10 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| CANTOR FITZGERALD & CO | CME | 1007237CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CAP EX PARTNERS LLC | NFA | 13BCC00014 |
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- WITHDRAW FROM MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| CAPCOM FINANCIAL SERVICES LTD | CBOT | 88-FIN-123 |
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $25000
|
| CAPCOM FINANCIAL SERVICES LTD | CBOT | 88-EX -10 |
- FINANCIAL POSITION AND REPORTING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| CAPCOM FUTURES INC | NFA | 90BCC00029 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| COUGAR COMMODITIES INC | NFA | 86BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| COUGAR COMMODITIES INC | NFA | 85MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| COUGAR COMMODITIES INC | CFTC | 85-6451 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- ACCOUNT ORDER
- PROTECT BOOKS
- FREEZE ASSETS
|
| COUGAR COMMODITIES INC | CFTC | 84-6495-JE |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
|
| THOMSON MCKINNON FUTURES INC | CFTC | 85-24 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $500
|
| INTERNATIONAL FUTURES CORPORATION | CFTC | 98-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- IB REGISTRATION REVOKED
- OTHER (SEE NARRATIVE)
|
| CAPITAL BLU MANAGEMENT LLC | NFA | 09BCC00018 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| CAPITAL BLU MANAGEMENT LLC | NFA | 08MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- MEMBER RESPONSIBILITY ACTION
|
| CAPITAL BLU MANAGEMENT LLC | CFTC | 6:09-CV-508 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- FINE $
- PERMANENT INJUNCTION
|
| CAPITAL CITY CURRENCIES CORPORATION | CFTC | 79-2087 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| CAPITAL CREDIT MANAGEMENT & FINANCE INC | CFTC | 00-6885 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- PROTECT BOOKS
- ACCOUNT ORDER
- FREEZE ASSETS
- JOINT OWED
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| CAPITAL FUNDING CONSULTANTS LLC | CFTC | 2:09-CV-07409 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- TRADING PROHIBITION
- JOINT OWED
- FINE $665446.59
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| CAPITAL FX LLC | NFA | 09BCC00053 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| CAPITAL INSIGHT BROKERAGE | NFA | 96MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| CAPITAL INSIGHT BROKERAGE | CFTC | SD-00-01 |
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- REGISTRATION REVOKED
|
| CAPITAL INSIGHT BROKERAGE | CFTC | 99-11543 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $6000000
- STOP SOLICITING
- PERMANENT INJUNCTION
- FREEZE ASSETS
- JOINT OWED
- TRADING PROHIBITION
|
| SOUTHERN TRUST SECURITIES INC | NFA | 13BCC00015 |
- GENERAL CONDUCT
|
|
| MICHAEL BRUCE GALE | CFTC | 12-CV-01932 |
- CFTC INJUNCTIVE ACTION
|
- FINE $750000
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT OPERATE AS PRINCIPAL
|
| CAPITAL MANAGEMENT GROUP INC | NFA | 91BCC00025 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- SUSPENDED FROM MEMBERSHIP 60 DAYS
|
| CAPITAL MANAGEMENT GROUP INC | NFA | 90BCC00021 |
- FINANCIAL
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- OFFICE RECORDKEEPING
- REGISTRATION
- GENERAL CONDUCT
|
- FINE $10000
|
| CAPITAL MANAGEMENT SUGAR LLC | CSCE | 1999-50 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| CAPITAL MARKET SERVICES LLC | NFA | 11BCC00010 |
- GENERAL CONDUCT
|
- FINE $75000
|
| CAPITAL MARKET SERVICES LLC | NFA | 06BCC00039 |
- GENERAL CONDUCT
|
- FINE $75000
|
| FOREX CAPITAL MARKETS LLC | NFA | 11BCC00016 |
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED
- OTHER--SEE NARRATIVE
- FINE $2000000
|
| FOREX CAPITAL MARKETS LLC | NFA | 06BCC00046 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $175000
|
| FOREX CAPITAL MARKETS LLC | NFA | 05BCC00025 |
- SALES PRACTICE
|
- FINE $110000
|
| FOREX CAPITAL MARKETS LLC | CFTC | 12-01 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- FINE $6000000
|
| FOREX CAPITAL MARKETS LLC | CFTC | 04-80132 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
|
| CAPITAL OPTIONS INVESTMENTS INCORPORATED | NFA | 89BCC00019 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| CAPITAL RECOVERY SYSTEMS INC | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| CAPITAL RESOURCES INC | NFA | 85BCC00022 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $1000
- CEASE AND DESIST
|
| CAPITAL STRATEGIES, INC. | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCESS BOOKS
- TRADING PROHIBITION
- RESTRAINING ORDER
- STOP SOLICITING
- PROTECT BOOKS
- FREEZE ASSETS
- ACCESS BOOKS
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- FREEZE ASSETS
- RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
|
| CAPITAL STRATEGIES, INC. | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCESS BOOKS
- TRADING PROHIBITION
- RESTRAINING ORDER
- STOP SOLICITING
- PROTECT BOOKS
- FREEZE ASSETS
- ACCESS BOOKS
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- FREEZE ASSETS
- RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
|
| CAPITAL VENTURE HOLDINGS LLC | NFA | 12BCC00022 |
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- WITHDRAW FROM MEMBERSHIP
- FINE (CONTINGENT) $15000
|
| CAPSTONE QUANTITATIVE ANALYSIS INC | CFTC | 11-CV-02887 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $1222455
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| CAPSTONE TRADING INC | NYBT | 2003-089 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CARL ASSOCIATES INC JACK | NFA | 87BCC00010 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $9000
- CEASE AND DESIST
|
| CARL ASSOCIATES INC JACK | CFTC | 88-5 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $30000
|
| CAROLINA COTTON GROWERS COOPERATIVE INC | ICE | 2012-031 |
- TRADE PRACTICE
|
- FINE PAID $15000
|
| CC TRADING COMPANY LLC | NFA | 11BCC00023 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $15000
|
| CDH FOREX INVESTMENTS LLC | NFA | 10MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| CDH FOREX INVESTMENTS LLC | CFTC | SD 12-07 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- REGISTRATION REVOKED
- DEFAULT ORDER
- ALJ DECISION
|
| CDH FOREX INVESTMENTS LLC | CFTC | 11-CV-02862 |
- CFTC INJUNCTIVE ACTION
|
- FINE $4085691
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- MAY NOT OPERATE AS PRINCIPAL
|
| CDH GLOBAL HOLDINGS LLC | NFA | 10MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| CDH GLOBAL HOLDINGS LLC | CFTC | SD 12-07 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- REGISTRATION REVOKED
- DEFAULT ORDER
- ALJ DECISION
|
| CDH GLOBAL HOLDINGS LLC | CFTC | 11-CV-02862 |
- CFTC INJUNCTIVE ACTION
|
- FINE $4085691
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- MAY NOT OPERATE AS PRINCIPAL
|
| NEWPORT PRIVATE CAPITAL LLC | NFA | 13MRA00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- MRA AFFIRMED - HEARING PANEL
- MEMBER RESPONSIBILITY ACTION
|
| CENTRAL SOYA, INC. | CBOT | 98-RFT-107 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CENTRAL SOYA, INC. | CBOT | 97-RFT-003 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| CENTRAL SOYA, INC. | CBOT | 89-MSR-23 |
- SPECULATIVE POSITION LIMIT
- GENERAL CONDUCT
|
- FINE $350000
- CEASE AND DESIST
|
| CENTRAL SOYA, INC. | CBOT | 02-RFT-015 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CENTRAL SOYA, INC. | CBOT | 01-RFT-017 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CENTRAL STATES ENTERPRISES INC | CBOT | 11-8408-BC |
- TRADE PRACTICE
|
- FINE PAID $27500
- FINE $27500
|
| CETERA ADVISORS LLC | NFA | 03BCC00025 |
- FINANCIAL
|
- FINE $2000
|
| UNIVERSAL TECHNICAL SYSTEM INC | NFA | 87BCC00034 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
- CEASE AND DESIST
|
| CHARTERED SYSTEMS CORP OF NY LTD | CFTC | 79-53 |
- CFTC ADMINISTRATIVE ACTION
|
|
| CHARTERED SYSTEMS CORP OF NY LTD | CFTC | 79-26 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $35000
|
| CHICAGO COMMODITIES INC | NFA | 87BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- FINE $40000
|
| CHILCOTT COMMODITIES CORPORATION | CFTC | 81-999 |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- PERMANENT INJUNCTION
- RECEIVERSHIP
- STOP SOLICITING
- ACCESS BOOKS
|
| CHILCOTT PORTFOLIO MANAGEMENT INC | CFTC | 81-999 |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- PERMANENT INJUNCTION
- RECEIVERSHIP
- STOP SOLICITING
- ACCESS BOOKS
|
| CHOPPER TRADING LLC | CBOT | 12-8969-BC |
- TRADE PRACTICE
|
- FINE PAID $20000
- FINE $20000
|
| STEVEN MITCHELL FLAAT | NFA | 09BCC00054 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| CITADEL TRADING COMPANY LTD | CFTC | 77-0929-CB |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| CITADEL TRADING COMPANY OF CHICAGO LTD | CFTC | 77-8 |
- CFTC ADMINISTRATIVE ACTION
|
- FCM REGISTRATION REVOKED
- TRADING PRIVILEGES REVOKED
|
| CITY TRADING LTD | NFA | 93BCC00017 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| CITY TRUST AND INVESTMENT CO INC | CFTC | CV03-8339 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- FINE $8201729.37
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| VELOCITY FUTURES LLC | NFA | 06BCC00005 |
- GENERAL CONDUCT
|
- FINE $16000
|
| VELOCITY FUTURES LLC | NFA | 03BCC00043 |
- FINANCIAL
|
- FINE $2000
|
| VELOCITY FUTURES LLC | CFTC | 13-28 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- FINE $300000
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
|
| VELOCITY FUTURES LLC | CFTC | 12-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $180000
- COMPLAINT FILED
|
| CLEARY TRADING COMPANY INC | CFTC | 79-8 |
- CFTC ADMINISTRATIVE ACTION
|
|
| CMJ CAPITAL LLC | CFTC | 10-80738 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $2826981.37
- FINE $
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- JOINT OWED
|
| ROBBINS FUTURES INC | CFTC | 03-05 |
- CFTC ADMINISTRATIVE ACTION
|
- DISMISSED
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- CEASE AND DESIST ORDER
- FINE $120000
|
| CROMWELL FINANCIAL SERVICES INC | NFA | 99BCC00012 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $100000
- RESTRICTIONS ON ACTIVITIES
- REQUIRED TO TAPE RECORD
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
|
| CROMWELL FINANCIAL SERVICES INC | NFA | 95BCC00009 |
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- FINE $75000
|
| CROMWELL FINANCIAL SERVICES INC | NFA | 04BCC00014 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP PERM
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| CROMWELL FINANCIAL SERVICES INC | CFTC | 06-80362-CIV-HURLEY |
- CFTC INJUNCTIVE ACTION
|
- FINE $9200000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| COIN BANK | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| COIN FINANCIAL | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| COLLINS COMMODITIES | CFTC | 90-23 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $60000
|
| COMET RICE, INC. | CBOT | 92-MSI-40 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| COMET RICE, INC. | CBOT | 90-MSI-76 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| COMET RICE, INC. | CBOT | 92-FIN-81 |
- FINANCIAL POSITION AND REPORTING
- FINANCIAL
|
- CEASE AND DESIST
|
| COMEX CLEARING ASSOCIATION INC | CFTC | 85-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $30000
|
| COMMODITIES AMERICA CORPORATION | CFTC | 80-478 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RETURN FUNDS
- ACCOUNT ORDER
- ACCESS BOOKS
- RECEIVERSHIP
- PROTECT BOOKS
|
| UNIVERSAL FINANCIAL HOLDING CORP | NFA | 03BCC00035 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- FINE (JOINTLY AND SEVERALLY) $275000
|
| UNIVERSAL FINANCIAL HOLDING CORP | NFA | 01BCC00009 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- REQUIRED TO TAPE RECORD 2 YRS
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- FINE $50000
|
| UNIVERSAL FINANCIAL HOLDING CORP | CFTC | CV04-6463 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
|
| UNIVERSAL FINANCIAL HOLDING CORP | CFTC | 04CV3641 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- OTHER (SEE NARRATIVE)
|
| COMMODITY MANAGEMENT CORP OF MICHIGAN | CFTC | 86-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $2000
- MAKE RESTITUTION TO CUSTMERS
- CEASE AND DESIST ORDER
|
| SINCLAIR & COMPANY INCORPORATED | NFA | 91BCC00023 |
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $27500
|
| COMMODITY TRADING INTERNATIONAL CORP | NFA | 09BCC00057 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| COMMONWEALTH FINANCIAL GROUP INC | NFA | 94MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- REQUIRED TO TAPE RECORD
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| COMMONWEALTH FINANCIAL GROUP INC | NFA | 94BCC00013 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
- FINE $100000
|
| COMMONWEALTH FINANCIAL GROUP INC | CFTC | 92-6692 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- COMMISSION ORDER
- ACCESS BOOKS
- DIV. OF ENFORCEMENT APPEAL
- COMPLAINT FILED
- PROTECT BOOKS
|
| COMMONWEALTH EQUITY SERVICES INC | NFA | 93BCC00016 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| PEIKES MEYER J | NFA | 85MRA00018 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- RESTRICTIONS ON ACTIVITIES
- GIVE NOTICE OF ACTION
|
| BEVILL RARDON D ASSOCIATES INC | NFA | 93BCC00015 |
- FINANCIAL POSITION AND REPORTING
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
|
| CORNA & CO INC | NFA | 90REG00040 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| CHS HEDGING INC | CFTC | 97-10 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $75000
|
| CHS HEDGING INC | KCBT | SP0704 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE $5000
|
| CHS HEDGING INC | MGE | 05-I-8 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $250
|
| CHS HEDGING INC | MGE | 03I6/03I9 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| CHS HEDGING INC | MGE | 01-I-10 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $3250
|
| CHS HEDGING INC | MGE | 00-I-22 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| COMMODITY TRENDS INC | NFA | 86BCC00004 |
- OFFICE RECORDKEEPING
|
- FINE $2000
- CEASE AND DESIST
|
| VERNIER DARCY ALEXANDER | NYME | 92-F167 |
- GENERAL CONDUCT
|
- FINE $500
|
| CTU INC | CFTC | 02-60239 |
- CFTC INJUNCTIVE ACTION
|
- FINE $229615.51
- PROTECT BOOKS
- SUPPLEMENTAL COURT ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
|
| MF GLOBAL INC | CFTC | 13 CIV 4463 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| MF GLOBAL INC | CFTC | 10-03 |
- CFTC ADMINISTRATIVE ACTION
|
- ACCESS BOOKS
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
- FINE $10000000
- COMMISSION ORDER
|
| MF GLOBAL INC | CBOE | 2011-001 MF GLOBAL |
- FINANCIAL
|
- SUSPENDED FROM MEMBERSHIP PERM
|
| MF GLOBAL INC | CBOT | 07-RFT-054 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MF GLOBAL INC | CBOT | 04-RFT-088 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| MF GLOBAL INC | CEI | 09-04 MF GLOBAL INC. |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE PAID $15000
|
| MF GLOBAL INC | CME | 09-CH-0903 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| MF GLOBAL INC | CME | 09-05687-BC |
- TRADE PRACTICE
|
- FINE $5000
- FINE PAID $5000
|
| MF GLOBAL INC | CME | 0803895CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MF GLOBAL INC | CME | 08-CH-0803 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| MF GLOBAL INC | CME | 0702551 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MF GLOBAL INC | CME | 0702416CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| MF GLOBAL INC | CME | 0702410CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $3500
|
| MF GLOBAL INC | KCBT | SP0810 |
- OFFICE RECORDKEEPING
|
- FINE $2500
- CEASE AND DESIST
|
| REFCO LLC | CFTC | 99-12 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $6000000
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| REFCO LLC | CFTC | 96-2 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $925000
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| REFCO LLC | CFTC | 95-2 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $1250000
- COMMISSION ORDER
- COMPLAINT FILED
|
| REFCO LLC | CFTC | 92-15 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $440000
- COMMISSION ORDER
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| REFCO LLC | CFTC | 90-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $220000
|
| REFCO LLC | CFTC | 88-8 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $21000
|
| REFCO LLC | CFTC | 88-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- ALJ DECISION
- COMPLAINT FILED
|
| REFCO LLC | CFTC | 83-20 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $375000
|
| REFCO LLC | CFTC | 76-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $3000
|
| REFCO LLC | CACE | 95-002 |
- SPECULATIVE POSITION LIMIT
|
- FINE $6000
|
| REFCO LLC | CACE | 95-001 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $14000
|
| REFCO LLC | CBOT | 99-RFT-194 |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| REFCO LLC | CBOT | 98-RFT-168 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CBOT | 98-RFT-068 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | CBOT | 97-RFT-072 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CBOT | 97-MSI-01 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
|
| REFCO LLC | CBOT | 96-RRI-29 |
- GENERAL CONDUCT
|
- FINE $15000
|
| REFCO LLC | CBOT | 96-MSR-1A |
- FLOOR RECORDKEEPING
- TRADE PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $1000000
|
| REFCO LLC | CBOT | 95-RRR-384 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | CBOT | 95-MSI-10 |
- OFFICE RECORDKEEPING
|
- FINE $15000
|
| REFCO LLC | CBOT | 94-RRI-04 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| REFCO LLC | CBOT | 94-INV-12 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CBOT | 93-RRR-111E |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | CBOT | 93-RRR-108E |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | CBOT | 93-RRI-31 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2500
|
| REFCO LLC | CBOT | 93-RRI-28 |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| REFCO LLC | CBOT | 93-RRI-25 |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| REFCO LLC | CBOT | 90-INV-28 |
- GENERAL CONDUCT
- TRADE PRACTICE
- REGISTRATION
|
- FINE $40000
|
| REFCO LLC | CBOT | 90-EX -209 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CBOT | 90-EX -172 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CBOT | 89-RRR-238 |
- OFFICE RECORDKEEPING
|
- FINE $3000
|
| REFCO LLC | CBOT | 89-MSI-03A |
- TRADE PRACTICE
|
- CEASE AND DESIST
|
| REFCO LLC | CBOT | 89-EX -219 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CBOT | 88-RRR-75 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CBOT | 87-MSI-53 |
- GENERAL CONDUCT
|
- FINE $500
|
| REFCO LLC | CBOT | 87-FIN-190 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| REFCO LLC | CBOT | 2004-INV-27B |
- GENERAL CONDUCT
|
- FINE $20000
|
| REFCO LLC | CBOT | 2002-INV-12 |
- OFFICE RECORDKEEPING
|
- FINE $5000
|
| REFCO LLC | CBOT | 2000-MSR-15A |
- TRADE PRACTICE
|
- FINE $1250
|
| REFCO LLC | CBOT | 04-RFT-065 |
- FLOOR RECORDKEEPING
|
- FINE $1200
|
| REFCO LLC | CBOT | 02RFT040,042 |
- FLOOR RECORDKEEPING
|
- FINE $21000
|
| REFCO LLC | CBOT | 02-MSI-20 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $20000
|
| REFCO LLC | CBOT | 01RFT34;101 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CBOT | 01-MSI-034 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| REFCO LLC | CEI | AT-93-13 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| REFCO LLC | CEI | AT-92-29 |
- OFFICE RECORDKEEPING
|
- FINE $100
|
| REFCO LLC | CME | MS9106 |
- SPECULATIVE POSITION LIMIT
|
- FINE-FURTHER VIOLATION $0
- FINE $5000
|
| REFCO LLC | CME | MS9103 |
- SPECULATIVE POSITION LIMIT
|
- FINE $250000
- CEASE AND DESIST
|
| REFCO LLC | CME | MS8854 |
- FLOOR RECORDKEEPING
|
- FINE $50000
|
| REFCO LLC | CME | 98CH9801 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $30000
|
| REFCO LLC | CME | 985446CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| REFCO LLC | CME | 964588CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 954588CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 92CH9204 |
- FINANCIAL
|
- FINE $200000
|
| REFCO LLC | CME | 921162FP |
- TRADE PRACTICE
|
- FINE $2500
|
| REFCO LLC | CME | 92-1088-FP |
- TRADE PRACTICE
|
- RESTITUTION TO CUSTOMER(S) $0
- FINE $5000
|
| REFCO LLC | CME | 91231CR |
- SALES PRACTICE
|
- FINE $2500
|
| REFCO LLC | CME | 90CH9011 |
- FINANCIAL
|
- FINE $7500
|
| REFCO LLC | CME | 90CH9007 |
- OFFICE RECORDKEEPING
|
- FINE $5000
|
| REFCO LLC | CME | 0702415CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0702414CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $6000
|
| REFCO LLC | CME | 0702403CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| REFCO LLC | CME | 0626605CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| REFCO LLC | CME | 0626576CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 0525452CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| REFCO LLC | CME | 0525331CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0525096CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0525061MS |
- SPECULATIVE POSITION LIMIT
|
- NOTICE OF VIOLATION
|
| REFCO LLC | CME | 0525046MS |
- SPECULATIVE POSITION LIMIT
|
- NOTICE OF VIOLATION
|
| REFCO LLC | CME | 0525014CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CME | 0524906CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| REFCO LLC | CME | 0424460CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $7500
|
| REFCO LLC | CME | 0424363CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0424246CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0424213CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 0424175CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| REFCO LLC | CME | 0423247CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CME | 0323066CTRA |
- FLOOR RECORDKEEPING
|
- FINE $7500
|
| REFCO LLC | CME | 0322888CTRA |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| REFCO LLC | CME | 0322826CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CME | 0322653CTRA |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| REFCO LLC | CME | 0322520CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CME | 0322479CTRT |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| REFCO LLC | CME | 0322222CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CME | 0322102CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 0321779BC |
- TRADE PRACTICE
|
- FINE $7500
|
| REFCO LLC | CME | 0321758CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| REFCO LLC | CME | 02CH0201 |
- FINANCIAL
|
- FINE $25000
|
| REFCO LLC | CME | 0221386CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 0221238CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 0221215CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CME | 01CH0101 |
- GENERAL CONDUCT
|
- FINE $10000
|
| REFCO LLC | CME | 0119865CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CME | 0119743CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| REFCO LLC | CME | 0119729CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CME | 0119624CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CME | 0119608CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CME | 0119600CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CME | 0119428CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | CME | 0119370CTRT |
- FLOOR RECORDKEEPING
|
- FINE-FURTHER VIOLATION $5000
|
| REFCO LLC | CME | 0118927CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CME | 00CH0001 |
- FINANCIAL
|
- FINE $100000
|
| REFCO LLC | CME | 0018003CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUSPENDED AMOUNT $1000
- FINE $2500
|
| REFCO LLC | CSCE | I94-77 |
- OFFICE RECORDKEEPING
|
- FINE $10000
|
| REFCO LLC | CSCE | I94-66 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| REFCO LLC | CSCE | I94-63 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | CSCE | I94-16 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| REFCO LLC | CSCE | I93-72 |
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| REFCO LLC | CSCE | I90-45 |
- SPECULATIVE POSITION LIMIT
|
- FINE $500
|
| REFCO LLC | CSCE | 95-60 |
- OFFICE RECORDKEEPING
|
- FINE $25000
|
| REFCO LLC | CSCE | 1999-110 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| REFCO LLC | KCBT | SP0503 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | MGE | 05-I-6 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $250
|
| REFCO LLC | MGE | 05-I-19 |
- FLOOR RECORDKEEPING
|
- LETTER REPRIMAND
|
| REFCO LLC | MGE | 04-I-40 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| REFCO LLC | MGE | 04-I-39 |
- CLEARING PROCEDURES
|
- FINE $1000
|
| REFCO LLC | MGE | 02-I-6 |
- CLEARING PROCEDURES
|
- FINE $500
|
| REFCO LLC | MGE | 02-I-18 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1500
|
| REFCO LLC | MGE | 00-I-25 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| REFCO LLC | NYCE | NYCE99-049 |
- FINANCIAL
|
- FINE $62500
|
| REFCO LLC | NYCE | 97-016 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| REFCO LLC | NYCE | 97-012 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | NYCE | 95-018 |
- GENERAL CONDUCT
|
- FINE $1000
|
| REFCO LLC | NYCE | 95-016 |
- GENERAL CONDUCT
|
- FINE $100
|
| REFCO LLC | NYCE | 92-047 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | NYCE | 92-046 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | NYCE | 92-029 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| REFCO LLC | NYCE | 91-018 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | NYCE | 91-009 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | NYCE | 90-070 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| REFCO LLC | NYCE | 90-065 |
- GENERAL CONDUCT
|
- FINE $5000
- CEASE AND DESIST
|
| REFCO LLC | NYCE | 90-035 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| REFCO LLC | NYFE | OT-9 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $20
|
| REFCO LLC | NYFE | OT-8 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5
|
| REFCO LLC | NYFE | OT-7 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $245
|
| REFCO LLC | NYFE | OT-6 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| REFCO LLC | NYFE | OT-5 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| REFCO LLC | NYFE | OT-4 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $25
|
| REFCO LLC | NYFE | OT-3 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| REFCO LLC | NYME | APP. 93-5 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
|
| REFCO LLC | NYME | APP. 93-2 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2000
|
| REFCO LLC | NYME | AP96-01 |
- GENERAL CONDUCT
|
- FINE $24900
|
| REFCO LLC | NYME | 93-15 |
- GENERAL CONDUCT
|
- FINE $10000
|
| REFCO LLC | NYME | 91-25 |
- TRADE PRACTICE
|
- FINE $6000
|
| REFCO LLC | NYME | 90-07 |
- GENERAL CONDUCT
|
- FINE $5000
- CEASE AND DESIST
|
| HOLZWARTH COMMODITIES INC | NFA | 88BCC00028 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- OTHER--SEE NARRATIVE
- FINE $12500
|
| CAPITOL COMMODITY SERVICES INCORPORATED | NFA | 88BCC00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- MEMBERSHIP CONDITIONED
- REGISTRATION RESTRICTIONS AND CONDITIONS LIFTED
|
| D MOBLEY INCORPORATED | CFTC | 00-CIV-1317 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- RESTRAINING ORDER
- MAY NOT APPLY TO REGISTER
- FREEZE ASSETS
- PROTECT BOOKS
|
| D&B INVESTMENTS ASSOCIATES | CFTC | 84-0636 |
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- PERMANENT INJUNCTION
|
| TOBY HUNTER | NFA | 11MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| TOBY HUNTER | CFTC | 3:11CV431 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $280000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| D2W CAPITAL MANAGEMENT LLC | NFA | 11MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| D2W CAPITAL MANAGEMENT LLC | CFTC | 3:11CV431 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- FINE $280000
|
| NEWPORT FUTURES WEST | NFA | 88BCC00041 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 1 YRS
|
| DOMINIQUE MIGUEL DACRUZ | NFA | 11MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
|
| DOMINIQUE MIGUEL DACRUZ | NFA | 11BCC00020 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 7 YRS
- WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP
- TEMPORARY BAR FROM PRINCIPAL STATUS 7 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 7 YRS
|
| DAILEY FAMILY LIMITED PARTNERSHIP | CFTC | A09CA 497SS |
- CFTC INJUNCTIVE ACTION
|
- DISMISSED
- ACCOUNT ORDER
- COMPLAINT FILED
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
|
| PATRICK JOSEPH DAILEY | CFTC | A09CA 497SS |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- FINE $850000
- JOINT OWED
- STOP SOLICITING
|
| MBH COMMODITY ADVISORS INC | NFA | 99REG00049 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| MBH COMMODITY ADVISORS INC | NFA | 96BCC00015 |
- SALES PRACTICE
|
- FINE $200000
- EXPELLED FROM MEMBERSHIP
- AFFIRMED ON APPEAL - FEDERAL COURT
- ON APPEAL - FEDERAL COURT
- AFFIRMED ON APPEAL - CFTC
|
| SCHAFFNER ENTERPRISES INC GERRY | NFA | 93BCC00024 |
- SALES PRACTICE
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| RBC CAPITAL MARKETS LLC | CBOT | 11-8064-BC |
- TRADE PRACTICE
|
- FINE $15000
- FINE PAID $15000
|
| RBC CAPITAL MARKETS LLC | CEI | RSRH-13-2018 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| RBC CAPITAL MARKETS LLC | ICE | 2010-018 |
- TRADE PRACTICE
|
- FINE $15000
- CEASE AND DESIST
|
| DAIRY FARMERS OF AMERICA INC | CFTC | 09-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- JOINT OWED
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- FINE $12000000
|
| DAIWA CAPITAL MARKETS AMERICA INC | CBOT | 92-INV-29 |
- TRADE PRACTICE
|
- FINE $20000
|
| DAIWA CAPITAL MARKETS AMERICA INC | CBOT | 92-EX -25 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $3000
|
| DAIWA CAPITAL MARKETS AMERICA INC | CBOT | 91-EX -02 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $6000
|
| DAIWA CAPITAL MARKETS AMERICA INC | CBOT | 89-EX -10 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| DAIWA CAPITAL MARKETS AMERICA INC | CME | 91165FP |
- TRADE PRACTICE
|
- FINE $7500
|
| DALEY MORGAN J CORP | CFTC | 85-15 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES SUSPENDED 60 MTHS
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| DALEY MORGAN J CORP | CFTC | 81-770 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- ACCESS BOOKS
- FREEZE ASSETS
|
| DALLAS BROKERAGE COM INC | CFTC | 78-46 |
- CFTC ADMINISTRATIVE ACTION
|
- FCM REGISTRATION DENIED
|
| STOTLER FUNDS INC | NFA | 91BCC00014 |
- SALES PRACTICE
- FINANCIAL POSITION AND REPORTING
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| STOTLER FUNDS INC | CFTC | 90-C4387 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- PRELIMINARY INJUNCTION
- STOP SOLICITING
- PROTECT BOOKS
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| DALTON INVESTMENTS LLC | NFA | 06BCC00012 |
- GENERAL CONDUCT
|
- FINE $10000
|
| DALTON GENERAL PARTNER LIMITED | NFA | 11BCC00030 |
- GENERAL CONDUCT
|
- FINE $15000
|
| INTERNATIONAL FUTURES CONSULTANTS LTD | NFA | 92BCC00004 |
- SALES PRACTICE
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| INTERNATIONAL FUTURES CONSULTANTS LTD | NFA | 91MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| DAMHOF VIRGIL | NFA | 85BCC00012 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- CEASE AND DESIST
- TEMPORARY BAR FROM NFA MEMBERSHIP 1 YRS
|
| DANIEL ISLAND BUILDERS LLC | CFTC | 2:08-3297 |
- CFTC INJUNCTIVE ACTION
|
- FINE $2400000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DISGORGEMENT $13323.55
- OTHER (SEE NARRATIVE)
|
| GLOBAL ASSET ADVISORS LLC | CFTC | 11-05 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| DANIELS TRADING GROUP LLC | CFTC | 11-05 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $2000000
|
| DASKOSKI BARBARA J | NFA | 86BCC00001 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| DASKOSKI BARBARA J | NFA | 84MRA00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| DATA TECH RESEARCH CORPORATION | CFTC | 90-26 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $20000
|
| DAVID J & COMPANY | NFA | 84BCC00005 |
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| DAVID SECURITIES INC J | NFA | 84MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| TS CAPITAL MANAGEMENT LLC | NFA | 12BCC00012 |
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| TS CAPITAL MANAGEMENT LLC | NFA | 11MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| TS CAPITAL MANAGEMENT LLC | CFTC | 12-CV-00203 |
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| DAVID TRADING COMPANY INC J | NFA | 84MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| FIRST INVESTORS GRP OF PALM BEACHES INC | NFA | 95BCC00011 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $100000
- ENHANCED PROCEDURES REQUIRED
- RESTRICTIONS ON ACTIVITIES
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| FIRST INVESTORS GRP OF PALM BEACHES INC | NFA | 02REG00024 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| FIRST INVESTORS GRP OF PALM BEACHES INC | CFTC | 01-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- DISMISSED
- IB REGISTRATION REVOKED
- ALJ ORDER
|
| DAVIS RANDALL E | NFA | 90BCC00020 |
- NFA GENERAL DISCIPLINARY ACTION
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| DORMAN TRADING LLC | CBOT | RSRH-13-1376 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $750
|
| DORMAN TRADING LLC | CBOT | 98-RFT-096 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| DORMAN TRADING LLC | CBOT | 94-RRR-430 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| DORMAN TRADING LLC | CBOT | 13-7496 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DORMAN TRADING LLC | CBOT | 1005615CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DORMAN TRADING LLC | CME | RSRH-13-1375 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $750
|
| DORMAN TRADING LLC | CME | 99CH9905 |
- CLEARING PROCEDURES
|
- FINE $2000
|
| DORMAN TRADING LLC | CME | 9917260CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| DORMAN TRADING LLC | CME | 12-CH-1201 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| DORMAN TRADING LLC | CME | 11-CH-1101 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $20000
- FINE WAIVED $20000
|
| DORMAN TRADING LLC | CME | 1007754CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DORMAN TRADING LLC | CME | 0525044CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| DORMAN TRADING LLC | CME | 0424029CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| DORMAN TRADING LLC | CME | 0322372CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| DORMAN TRADING LLC | CME | 02CH0202 |
- FINANCIAL
|
- FINE $25000
|
| DORMAN TRADING LLC | CME | 0221213CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| DAWSON TRADING LLC | CFTC | 10-CV-04510 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $2100000
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| DIRECT FUTURES LLC | NFA | 10BCC00026 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $25000
|
| SECURITIES AND COMMODITIES CORP | CFTC | 89-26 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| GLOBAL FUTURES EXCHANGE & TRADING CO INC | CFTC | 00-14 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $10000
- COMMISSION ORDER
|
| DB COMMODITY SERVICES LLC | CBOT | 09-03744-BC |
- SPECULATIVE POSITION LIMIT
|
- FINE $7500
- FINE PAID $7500
|
| DB COMMODITY SERVICES LLC | CME | 10-07130-BC |
- SPECULATIVE POSITION LIMIT
|
- FINE $7500
- FINE PAID $7500
|
| YORK BUSINESS ASSOCIATES LLC | CFTC | 12-33 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $69000
- FINE $130000
- COMPLAINT FILED
|
| YORK BUSINESS ASSOCIATES LLC | ICE | 2013-003A |
- FLOOR RECORDKEEPING
|
- FINE PAID $5000
|
| ROBERT LEE HOLLOWAY | CFTC | 2:11CV00099 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- PROTECT BOOKS
- EX PARTE RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| DBS CAPITAL INC | CFTC | C 03-1379VRW |
- CFTC INJUNCTIVE ACTION
|
- FINE $3191597.43
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- JOINT OWED
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| DBS VICKERS SECURITIES SINGAPORE PTE LTD | NYME | 12-8831-BC DBS VICKERS SECURITIES |
- TRADE PRACTICE
|
- FINE PAID $30000
|
| DISCOUNT CORP OF NEW YORK FUTURES | CBOT | 92-RRR-270 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| DISCOUNT CORP OF NEW YORK FUTURES | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| DISCOUNT CORP OF NEW YORK FUTURES | CBOT | 91-EX -06 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| DISCOUNT CORP OF NEW YORK FUTURES | CBOT | 90-RRR-306 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| DISCOUNT CORP OF NEW YORK FUTURES | CBOT | 90-INV-15 |
- GENERAL CONDUCT
|
- FINE $50000
|
| DCV FARMS INC | CFTC | 10-2490 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- DISGORGEMENT $200000
- FINE $70000
- TRADING PROHIBITION
- JOINT OWED
- OTHER (SEE NARRATIVE)
|
| DD INTERNATIONAL HOLDINGS LLC | CFTC | 6:09-CV-508 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- FINE $4927184.24
- PERMANENT INJUNCTION
|
| DE GOL ENTERPRISES, INC. | CFTC | 92-7158 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- COMPLAINT FILED
- ACCESS BOOKS
- RECEIVERSHIP
- PROTECT BOOKS
|
| DE GOL FINANCIAL GROUP, INC. | CFTC | 92-7158 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| DE JONES COMMODITIES INC | CFTC | 83-5909WK |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| DELONG INTERNATIONAL INCORPORATED | NFA | 89BCC00029 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $20000
|
| DE SHAW & CO LP | CFTC | 12-09 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $140000
- COMMISSION ORDER
|
| MORGAN STANLEY DW INC | NFA | 88BCC00016 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
|
| MORGAN STANLEY DW INC | CACE | 94-011 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2400
|
| MORGAN STANLEY DW INC | CBOT | 97-RFT-030 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| MORGAN STANLEY DW INC | CBOT | 95-RRR-232 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| MORGAN STANLEY DW INC | CBOT | 95-MSI-12A |
- GENERAL CONDUCT
|
- FINE $2500
|
| MORGAN STANLEY DW INC | CBOT | 95-MSI-09 |
- GENERAL CONDUCT
|
- FINE $250
|
| MORGAN STANLEY DW INC | CBOT | 90-EX -16 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| MORGAN STANLEY DW INC | CME | 964509FP |
- TRADE PRACTICE
|
- FINE $10000
|
| MORGAN STANLEY DW INC | CSCE | I97-63 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $20000
- CEASE AND DESIST
|
| MORGAN STANLEY DW INC | CSCE | I92-44 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| MORGAN STANLEY DW INC | CSCE | I92-38 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2000
|
| MORGAN STANLEY DW INC | CSCE | I90-20 |
- TRADE PRACTICE
- FINANCIAL POSITION AND REPORTING
|
- FINE $1250
|
| MORGAN STANLEY DW INC | CSCE | I89-83 |
- SPECULATIVE POSITION LIMIT
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| MORGAN STANLEY DW INC | NYCE | 91-006 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| MORGAN STANLEY DW INC | NYME | TENDER#2 |
- GENERAL CONDUCT
|
- FINE $12000
|
| MORGAN STANLEY DW INC | NYME | TENDER NO. 2 |
- GENERAL CONDUCT
|
- FINE $12000
|
| MORGAN STANLEY DW INC | NYME | 90-F62 |
- GENERAL CONDUCT
|
- FINE $1000
|
| DEARBORN FINANCIAL PUBLISHING INC | CFTC | 00-34 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- JOINT OWED
- OTHER (SEE NARRATIVE)
- FINE $220000
|
| DEARBORN TRADING INC | CFTC | 11-19 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $180000
|
| ZANER GROUP LLC | NFA | 89BCC00032 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $5000
|
| TC CREDIT SERVICE LLC | CFTC | 12 CV 1834 |
- CFTC INJUNCTIVE ACTION
|
- FINE $1995000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| DELTA CONSULTANTS, INC. | CFTC | 94-2403 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| DELTA FINANCIAL CORPORATION | CFTC | 6:00-0567 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT OPERATE AS PRINCIPAL
- MAY NOT APPLY TO REGISTER PERM
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION PERM
- PERMANENT INJUNCTION PERM
|
| DEMHOFF CORPORATION | CFTC | 89-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 6 MTHS
|
| DEUTSCHE BANK SECURITIES INC | CBOT | RSRH-13-1735 |
- OFFICE RECORDKEEPING
|
- FINE $1500
|
| DEUTSCHE BANK SECURITIES INC | CBOT | CBT RSRH-13-2254 |
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 2006-INV-12E |
- TRADE PRACTICE
|
- FINE $25000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 2004-INV-12A |
- TRADE PRACTICE
|
- FINE $75000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 13-7701 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 12-CH-1206 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 12-CH-1204 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $50000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 12-08830-BC |
- TRADE PRACTICE
|
- FINE PAID $65000
- FINE $65000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 1105762CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 11-8175-BC |
- FINANCIAL POSITION AND REPORTING
|
- FINE $15000
- FINE PAID $15000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 11-08055-BC; 09-04307-BC |
- TRADE PRACTICE
|
- FINE PAID $550000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 1005138CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 0903400CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 06-RFT-055 |
- FLOOR RECORDKEEPING
|
- FINE $2100
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 04-RFT-024 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 03-CH-0310 |
- CLEARING PROCEDURES
|
- FINE WAIVED $25000
- FINE-SUMMARY $50000
|
| DEUTSCHE BANK SECURITIES INC | CBOT | 02-EX-26 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| DEUTSCHE BANK SECURITIES INC | CEI | RSRH-13-1737 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| DEUTSCHE BANK SECURITIES INC | CME | RSRH-13-1734 |
- OFFICE RECORDKEEPING
|
- FINE $5000
|
| DEUTSCHE BANK SECURITIES INC | CME | RSRH-13-1650 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DEUTSCHE BANK SECURITIES INC | CME | 11-08055-BC |
- TRADE PRACTICE
|
- FINE PAID $250000
|
| DEUTSCHE BANK SECURITIES INC | CME | 1007425CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| DEUTSCHE BANK SECURITIES INC | ICE | 2012-056 |
- FLOOR RECORDKEEPING
|
- FINE PAID $5000
|
| DEUTSCHE BANK SECURITIES INC | ICE | 2010-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| DEUTSCHE BANK SECURITIES INC | ICE | 2010-015 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| DEUTSCHE BANK SECURITIES INC | KCBT | RSRH-13-1738 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| DEUTSCHE BANK SECURITIES INC | NYME | RSRH-13-1736 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| DEUTSCHE BANK AG | CEI | RSRH-13-1265 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| DEUTSCHE BANK AG | IOTC | 11-00116 |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $20000
- CEASE AND DESIST
|
| DEUTSCHE BANK AG | NYME | RSRH-13-1264 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| DEUTSCHE BANK AG | NYME | 11-08386-BC - DEUTSCHE BANK AG |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $40000
|
| DIAMOND HEAD CAPITAL LLC | NFA | 13BCC00032 |
- GENERAL CONDUCT
|
|
| FXDIRECTDEALER LLC | NFA | 12MRA00009 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| FXDIRECTDEALER LLC | NFA | 12BCC00030 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $1095119
|
| FXDIRECTDEALER LLC | NFA | 12BCC00021 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $1095119
|
| FXDIRECTDEALER LLC | CFTC | 13-42 |
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $275000
- COMMISSION ORDER
|
| FXDIRECTDEALER LLC | CFTC | 13-34 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $914131
- COMPLAINT FILED
- MAKE RESTITUTION TO CUSTMERS
- CEASE AND DESIST ORDER
|
| DIRECT FOREX LLC | NFA | 07BCC00019 |
- FINANCIAL
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
- OFFICE RECORDKEEPING
|
- FINE $35000
|
| DIRECT INVESTMENT PRODUCTS INC | NFA | 10MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| DIRECT INVESTMENT PRODUCTS INC | CFTC | 13-CV-02887 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| FARR FINANCIAL INC | CFTC | 13-01 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $280000
- COMMISSION ORDER
|
| DONCOMM FINANCIAL, LTD. | CFTC | 84-0636 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- DISGORGEMENT $0
|
| NOBLE ALEJANDRO DRAKOLN | NFA | 13BCC00010 |
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS
- TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
- TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP
- FINE (JOINTLY AND SEVERALLY) $50000
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS
- OTHER--SEE NARRATIVE
- FINE (CONTINGENT) $
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP
|
| DUNHILL FINANCIAL GROUP INC | CFTC | 99-7 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- DISMISSED
- TRADING PRIVILEGES REVOKED
- MAY NOT APPLY TO REGISTER
- CEASE AND DESIST ORDER
- REGISTRATION REVOKED
|
| WACHTEL FINANCIAL GROUP | NFA | 89BCC00018 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- EXPELLED FROM MEMBERSHIP
|
| DUNHILL INVESTMENTS CORPORATION | CFTC | 90-25 |
- CFTC ADMINISTRATIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- IB REGISTRATION REVOKED
- COMPLAINT FILED
|
| VISION FINANCIAL MARKETS LLC | NFA | 96BCC00018 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $75000
|
| VISION FINANCIAL MARKETS LLC | NFA | 93BCC00010 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $100000
- ENHANCED PROCEDURES REQUIRED
- RESTRICTIONS ON ACTIVITIES 1 YRS
- REPORT TO NFA
|
| VISION FINANCIAL MARKETS LLC | NFA | 13BCC00018 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
|
| VISION FINANCIAL MARKETS LLC | NFA | 11BCC00003 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $500000
|
| VISION FINANCIAL MARKETS LLC | NFA | 00BCC00005 |
- SALES PRACTICE
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA 3 YRS
- FINE (JOINTLY AND SEVERALLY) $200000
- ON APPEAL - NFA APPEALS COMMITTEE
- AFFIRMED ON APPEAL - APPEALS COMMITTEE
|
| VISION FINANCIAL MARKETS LLC | CFTC | 13-39 |
- CFTC ADMINISTRATIVE ACTION
|
- DETAILS UNAVAILABLE
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $525000
|
| VISION FINANCIAL MARKETS LLC | CFTC | 13-36 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $140000
- COMMISSION ORDER
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
|
| VISION FINANCIAL MARKETS LLC | CBOT | RSRH-12-1213 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1250
|
| VISION FINANCIAL MARKETS LLC | CBOT | 13-9229 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| VISION FINANCIAL MARKETS LLC | CBOT | 1206389CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| VISION FINANCIAL MARKETS LLC | CBOT | 1105767CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| VISION FINANCIAL MARKETS LLC | CBOT | 1004706CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| VISION FINANCIAL MARKETS LLC | CBOT | 0903073CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| VISION FINANCIAL MARKETS LLC | CME | RSRH-12-1212 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1250
|
| VISION FINANCIAL MARKETS LLC | CME | 1208734CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| VISION FINANCIAL MARKETS LLC | CME | 1208529CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| VISION FINANCIAL MARKETS LLC | CME | 11-CH-1103 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $50000
- FINE WAIVED $25000
|
| VISION FINANCIAL MARKETS LLC | CME | 1006934CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| VISION FINANCIAL MARKETS LLC | CME | 0905245CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| VISION FINANCIAL MARKETS LLC | CME | 01-CH-0110 |
- CLEARING PROCEDURES
|
- FINE WAIVED $25000
- FINE-SUMMARY $50000
|
| VISION FINANCIAL MARKETS LLC | NYME | 12-08767-BC - VISION FINANCIAL MKTS |
- TRADE PRACTICE
|
- FINE PAID $15000
|
| AG EDWARDS & SONS INC | CFTC | 97-2 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $45000
|
| E D & F MAN (SUGAR) LTD | CFTC | 85-44 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $25000
|
| E D & F MAN (SUGAR) LTD | CSCE | I95-66 |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- FINE $12500
|
| E D & F MAN (SUGAR) LTD | CSCE | I91-3 |
- TRADE PRACTICE
|
- FINE $1000
|
| E D & F MAN CAPITAL MARKETS INC | CBOT | RSRH-13-7527 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| E D & F MAN CAPITAL MARKETS INC | CME | RSRH-13-7526 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $3000
|
| E D & F MAN CAPITAL MARKETS INC | CME | 13-7711-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| E D & F MAN CAPITAL MARKETS INC | CSCE | I90-28 |
- FLOOR RECORDKEEPING
|
- FINE $5750
|
| E D & F MAN CAPITAL MARKETS INC | NYME | RSRH-13-7528 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| E D & F MAN COCOA INC | CSCE | I91-24 |
- TRADE PRACTICE
|
- FINE $5000
|
| E D P COMMODITY INC | CFTC | 82-8 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $10000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES REVOKED
|
| E DAVID STEPHENS COMMODITIES CORP | NFA | 88BCC00014 |
- NFA GENERAL DISCIPLINARY ACTION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| E DAVID STEPHENS COMMODITIES CORP | CFTC | 91-18 |
- CFTC ADMINISTRATIVE ACTION
|
- REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| E DAVID STEPHENS COMMODITIES CORP | CFTC | 90-3276 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| E F HUTTON & COMPANY INC | CFTC | 89-24 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $50000
|
| FORYS EDWARD L | NFA | 88MRA00009 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| LINN GROUP THE | NFA | 10BCC00018 |
- GENERAL CONDUCT
|
- FINE $10000
|
| LINN GROUP THE | CFTC | 13-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $400000
- COMMISSION ORDER
|
| E NET SPECULATION S.A. | CFTC | 3:04CV169-S |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $50000
- STOP SOLICITING
|
| E PRIME INC | CFTC | 04-12 |
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- FINE $16000000
|
| E TRADE CLEARING LLC | NFA | 02BCC00010 |
- FINANCIAL
|
- FINE $2000
|
| GREG FIRMAN | NFA | 11BCC00043 |
- GENERAL CONDUCT
|
- FINE $7500
|
| IFINIX FUTURES INC | NFA | 11MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- MEMBER RESPONSIBILITY ACTION
|
| IFINIX FUTURES INC | NFA | 09BCC00017 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $17500
|
| IFINIX FUTURES INC | NFA | 07BCC00008 |
- GENERAL CONDUCT
- FINANCIAL
|
- FINE $10000
|
| IFINIX FUTURES INC | CFTC | CV 12 4843 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- FINE $1260000
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- JOINT OWED
- MAY NOT APPLY TO REGISTER
- DEFAULT ORDER
|
| E&P NORTH AMERICAN TRADING CORP | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- ACCOUNT ORDER
- PROTECT BOOKS
- RECEIVERSHIP
- FREEZE ASSETS
|
| FIRST OPTIONS OF CHICAGO INC | CFTC | 99-3 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- DISMISSED
- FINE $40000
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| FIRST OPTIONS OF CHICAGO INC | CFTC | 98-16 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- DISMISSED
- CEASE AND DESIST ORDER
- MAKE RESTITUTION TO CUSTMERS
- FINE $25000
- COMMISSION ORDER
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 99-RFT-192 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 99-RFT-109 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 98-MSI-06 |
- GENERAL CONDUCT
|
- FINE $2000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 98-B-5 |
- GENERAL CONDUCT
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 98-A-5 |
- GENERAL CONDUCT
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 97-RFT-165 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 97-RFT-069 |
- FLOOR RECORDKEEPING
|
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 97-MSI-08 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 96-RRR-404 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 95-RRR-306 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 94-RRR-320 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 93-RRR-201 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 93-INV-13 |
- TRADE PRACTICE
|
- FINE $30000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 93-A -01 |
- GENERAL CONDUCT
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 91-RRR-398 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 91-RRR-257 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 91-MSR-06 |
- GENERAL CONDUCT
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 89-RRR-331 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 88-RRR-87 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 88-MSI-21 |
- TRADE PRACTICE
|
- FINE $5000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 88-MSI-11 |
- GENERAL CONDUCT
|
- FINE $10000
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 87-FIN-99 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CBOT | 00-RFT-196 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 996392CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 98CH9803 |
- FINANCIAL
|
- FINE $2500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 985602CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 97CH9704 |
- CLEARING PROCEDURES
|
- FINE $5000
|
| FIRST OPTIONS OF CHICAGO INC | CME | 96CH9602 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| FIRST OPTIONS OF CHICAGO INC | CME | 963983CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 91174BC |
- TRADE PRACTICE
|
- FINE $35000
|
| FIRST OPTIONS OF CHICAGO INC | CME | 0322654CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| FIRST OPTIONS OF CHICAGO INC | CME | 0322132CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| FIRST OPTIONS OF CHICAGO INC | CME | 0118611CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 0118609CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FIRST OPTIONS OF CHICAGO INC | CME | 0118368 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| FIRST OPTIONS OF CHICAGO INC | NYFE | 97-003 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| EAGAN AND COMPANY INC | CFTC | 92-20 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $15000
- CEASE AND DESIST ORDER
- ALJ DECISION
- IB REGISTRATION REVOKED
- COMPLAINT FILED
|
| EAGLE FUTURES MANAGEMENT INC | NFA | 13REG00017 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| EAGLE MARKET MAKERS INC | CFTC | 13-05 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $220000
- DISGORGEMENT $3475
|
| EAGLE MARKET MAKERS INC | CBOT | 99-RFT-185 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| EAGLE MARKET MAKERS INC | CBOT | 98-RFT-154 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| EAGLE MARKET MAKERS INC | CBOT | 98-RFT-053 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| EAGLE MARKET MAKERS INC | CBOT | 97-RFT-153 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| EAGLE MARKET MAKERS INC | CBOT | 96-RRR-380 |
- FLOOR RECORDKEEPING
|
|
| EAGLE MARKET MAKERS INC | CBOT | 96-RRR-289 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| EAGLE MARKET MAKERS INC | CBOT | 95-RRR-409 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| EAGLE MARKET MAKERS INC | CBOT | 95-RRR-257 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| EAGLE MARKET MAKERS INC | CBOT | 95-FIN-16 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 94-RRR-292 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| EAGLE MARKET MAKERS INC | CBOT | 94-RRR-104E |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| EAGLE MARKET MAKERS INC | CBOT | 2004-EX-25 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 2002-INV-24B |
- GENERAL CONDUCT
|
- FINE $1000
|
| EAGLE MARKET MAKERS INC | CBOT | 2002-FIN-32 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| EAGLE MARKET MAKERS INC | CBOT | 13-7722 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 1106253CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 11-CH-1102 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| EAGLE MARKET MAKERS INC | CBOT | 1005205CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| EAGLE MARKET MAKERS INC | CBOT | 1004783CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 10-04638-BC |
- SPECULATIVE POSITION LIMIT
|
- FINE $15000
- FINE PAID $15000
|
| EAGLE MARKET MAKERS INC | CBOT | 0904000CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| EAGLE MARKET MAKERS INC | CBOT | 09-03644-BC |
- TRADE PRACTICE
|
- FINE PAID $2000
- CEASE AND DESIST
- FINE $2000
|
| EAGLE MARKET MAKERS INC | CBOT | 09-03542-MS |
- SPECULATIVE POSITION LIMIT
|
- CEASE AND DESIST
|
| EAGLE MARKET MAKERS INC | CBOT | 08-CH-0802 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| EAGLE MARKET MAKERS INC | CBOT | 08-02833-BC |
- TRADE PRACTICE
|
- FINE $20000
- FINE PAID $20000
|
| EAGLE MARKET MAKERS INC | CBOT | 08-02498-BC |
- CLEARING PROCEDURES
|
- FINE $25000
- FINE PAID $25000
|
| EAGLE MARKET MAKERS INC | CBOT | 07-EX-010 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| EAGLE MARKET MAKERS INC | CBOT | 06-FIN-021 |
- FINANCIAL
|
- FINE $15000
|
| EAGLE MARKET MAKERS INC | CBOT | 04-RFT-036 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| EAGLE MARKET MAKERS INC | CBOT | 03-RFT-028 |
- FLOOR RECORDKEEPING
|
- FINE $1750
|
| EAGLE MARKET MAKERS INC | CBOT | 03-FIN-06 |
- FINANCIAL
|
- FINE $1000
|
| EAGLE MARKET MAKERS INC | CBOT | 02-RFT-036 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| EAGLE MARKET MAKERS INC | CBOT | 00RFT43;189 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| EAGLE MARKET MAKERS INC | CME | 09-05976-BC |
- TRADE PRACTICE
|
- FINE PAID $20000
- FINE $20000
|
| EAGLE TRADING SYSTEMS INC | NYME | 11-08498-BC - EAGLE TRADING SYSTEMS |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $25000
|
| EAGLEEYE ASSET MANAGEMENT LLC | CFTC | 11-CV-11577 |
- CFTC INJUNCTIVE ACTION
|
- FINE $300000
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
|
| EARL K. RILERY COMPANY THE | CFTC | 80-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
|
| EARL K. RILERY COMPANY THE | CFTC | 78-42 |
- CFTC ADMINISTRATIVE ACTION
|
- FCM REGISTRATION REVOKED
|
| EAST COAST OPTIONS SERVICES INC | ICE | 2009-068 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| EAST COAST OPTIONS SERVICES INC | ICE | 2008-039;2008-053;2009-009 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| EAST COAST OPTIONS SERVICES INC | ICE | 2008-034 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| EAST COAST OPTIONS SERVICES INC | ICE | 2008-024 AND 2008-034 |
- FLOOR RECORDKEEPING
|
- FINE $2750
- CEASE AND DESIST
|
| EAST COAST OPTIONS SERVICES INC | NYBT | 2007-057 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $400
|
| EAST COAST OPTIONS SERVICES INC | NYBT | 2006-013 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $200
|
| EAST COAST OPTIONS SERVICES INC | NYBT | 2005-109 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| EAST COAST OPTIONS SERVICES INC | NYBT | 2005-032 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| EAST COAST OPTIONS SERVICES, INC. | CSCE | I98-8 |
- FLOOR RECORDKEEPING
|
- FINE $150
|
| EAST OCEAN | CFTC | 92-1676 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- DISGORGEMENT $8737998
|
| EASTERN CAPITAL CORPORATION | NFA | 84BCC00012 |
- GENERAL CONDUCT
|
- CEASE AND DESIST
|
| EASTERN CAPITAL CORPORATION | NFA | 83BCC00001 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $5000
- CEASE AND DESIST
|
| HAMPSHIRE ASSET MANAGEMENT INC | NFA | 90BCC00023 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| WINNER GROUP INC THE | NFA | 92BCC00001 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $2000
|
| WINNER GROUP INC THE | NFA | 90BCC00036 |
- NFA GENERAL DISCIPLINARY ACTION
- REGISTRATION
|
- FINE $20000
|
| HW ASSOCIATES INC | NFA | 06BCC00002 |
- GENERAL CONDUCT
|
- FINE $10000
|
| EASTON & CO | CFTC | 79-27 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $20000
|
| EASTON BAY CAPITAL MANAGEMENT | NFA | 07BCC00041 |
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| TRADE CENTER LLC | NFA | 08BCC00011 |
- GENERAL CONDUCT
|
- FINE $10000
|
| HARVARD INVESTMENT SERVICE INC | CFTC | 86-31 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $35000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| EASY TRADER INC | NFA | 10BCC00028 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| EBAUGH CURTIS MITCHELL | CFTC | 03-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- CTA REGISTRATION SUSPENDED 3 MTHS
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- FINE $15000
- COMMISSION ORDER
|
| EBERHARDT DONALD L | CBOT | 88-INV-06 |
- TRADE PRACTICE
- REGISTRATION
|
- LETTER REPRIMAND
|
| STONEHENGE ASSET MANAGEMENT LLC | NFA | 12BCC00029 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $50000
|
| ECHO TRADING INC | CFTC | 93-3106 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| ECKHARDT TRADING COMPANY | NYME | 11-08307-BC - ECKHARDT TRADING CO. |
- TRADE PRACTICE
|
- FINE PAID $25000
|
| ECO GREEN LLC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| ECOM AGROINDUSTRIAL CORP LTD | ICE | 2013-006 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE PAID $88000
|
| FUTURES & OPTIONS TRADING GROUP INC | NFA | 89BCC00003 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $20000
|
| ECONOMIC CONSULTANTS OF PRINCETON INC | CFTC | 87-10 |
- CFTC ADMINISTRATIVE ACTION
|
- RESPONDENT APPEAL
|
| ECONOMIC CONSULTANTS OF PRINCETON INC | CFTC | 85-47 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $12000
- TRADING PRIVILEGES SUSPENDED 12 MTHS
- CTA REGISTRATION REVOKED
- RESPONDENT APPEAL
- CEASE AND DESIST ORDER
|
| ECONOMIC MANAGEMENT INC | CFTC | 87-20 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
|
| ECONOMOU ARTHUR N AND COMPANY INC | CFTC | 79-2134VB |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- DISGORGEMENT $0
|
| ECOVAL DAIRY TRADE INC | CFTC | 11-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $1425000
- COMMISSION ORDER
|
| ED & F MAN COCOA INC | ICE | 2007-096 |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- CEASE AND DESIST
|
| CULLIN EDWARD S | NFA | 89BCC00014 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 3 YRS
- OTHER--SEE NARRATIVE
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
|
| ED&F MAN CAPITAL MARKETS LIMITED | ICE | 2007-018;2007-022;2008-047;2008-069 |
- TRADE PRACTICE
|
- FINE $50000
- CEASE AND DESIST
|
| ED&F MAN COMMODITY ADVISERS INC | ICE | 2009-071 |
- TRADE PRACTICE
|
- FINE $50000
- CEASE AND DESIST
|
| ED&F MAN COMMODITY ADVISERS INC | ICE | 2007-018;2007-022;2008-047;2008-069 |
- TRADE PRACTICE
|
- FINE $50000
- CEASE AND DESIST
|
| ED&F MAN DERIVATIVES ADVISORS INC | ICE | 2009-071 |
- TRADE PRACTICE
|
- FINE $50000
- CEASE AND DESIST
|
| ED&F MAN INTERNATIONAL INC | CFTC | 85-44 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| ED&F MAN INTERNATIONAL INC | CBOT | 98-RFT-084 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ED&F MAN INTERNATIONAL INC | CBOT | 98-MSR-12A |
- OFFICE RECORDKEEPING
- TRADE PRACTICE
- SALES PRACTICE
|
- FINE $125000
|
| ED&F MAN INTERNATIONAL INC | CBOT | 97-RFT-088 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ED&F MAN INTERNATIONAL INC | CBOT | 96-RRR-398 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ED&F MAN INTERNATIONAL INC | CBOT | 96-RRR-304 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ED&F MAN INTERNATIONAL INC | CBOT | 95-RRR-393 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ED&F MAN INTERNATIONAL INC | CBOT | 95-RRR-256 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ED&F MAN INTERNATIONAL INC | CBOT | 92-MSI-45 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2500
|
| ED&F MAN INTERNATIONAL INC | CBOT | 91-RRR-243 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ED&F MAN INTERNATIONAL INC | CBOT | 91-MSI-49 |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| ED&F MAN INTERNATIONAL INC | CME | 996729CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ED&F MAN INTERNATIONAL INC | CME | 92CH9210 |
- FINANCIAL
|
- FINE-FURTHER VIOLATION $7500
|
| ED&F MAN INTERNATIONAL INC | CSCE | I98-64 |
- SPECULATIVE POSITION LIMIT
|
- FINE $15000
- CEASE AND DESIST
|
| ED&F MAN INTERNATIONAL INC | CSCE | I98-038 |
- SPECULATIVE POSITION LIMIT
|
- FINE $30000
- CEASE AND DESIST
|
| ED&F MAN INTERNATIONAL INC | CSCE | I97-32 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ED&F MAN INTERNATIONAL INC | CSCE | I96-112 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| ED&F MAN INTERNATIONAL INC | CSCE | I95-77 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| ED&F MAN INTERNATIONAL INC | CSCE | I95-66 |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ED&F MAN INTERNATIONAL INC | CSCE | I94-9 |
- SPECULATIVE POSITION LIMIT
|
- FINE $3000
|
| ED&F MAN INTERNATIONAL INC | CSCE | I94-67 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| ED&F MAN INTERNATIONAL INC | CSCE | I91-20 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $2000
|
| ED&F MAN INTERNATIONAL INC | CSCE | A92-28C |
- FINANCIAL
|
- FINE $25000
|
| ED&F MAN INTERNATIONAL INC | CSCE | A92-06C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| ED&F MAN INTERNATIONAL INC | CSCE | A91-13C |
- FINANCIAL POSITION AND REPORTING
- FINANCIAL
|
- FINE $3500
|
| ED&F MAN INTERNATIONAL INC | NYME | APP. 93-6 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
|
| ED&F MAN INTERNATIONAL INC | NYME | 95-07 |
- TRADE PRACTICE
|
- FINE $10000
|
| ED&F MAN INTERNATIONAL INC | NYME | 91-F14 |
- GENERAL CONDUCT
|
- FINE $250
|
| MF GLOBAL UK LIMITED | CSCE | I95-66 |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- FINE $12500
|
| MF GLOBAL UK LIMITED | CSCE | I93-38 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| FCSTONE LLC | NFA | 12BCC00036 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $98000
|
| FCSTONE LLC | CFTC | 13-24 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $1500000
- COMMISSION ORDER
|
| FCSTONE LLC | CFTC | 12-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- JOINT OWED
- OTHER (SEE NARRATIVE)
- FINE $260000
|
| FCSTONE LLC | CBOT | RSRH-13-1821 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| FCSTONE LLC | CBOT | 2002-INV-17B |
- GENERAL CONDUCT
|
- FINE $15000
|
| FCSTONE LLC | CBOT | 13-9233 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| FCSTONE LLC | CBOT | 1206578CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| FCSTONE LLC | CBOT | 07-MSR-023A |
- GENERAL CONDUCT
|
- FINE $2500
|
| FCSTONE LLC | CBOT | 02-RFT-008 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FCSTONE LLC | CBOT | 01-RFT-09 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FCSTONE LLC | CBOT | 01-RFT-065 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FCSTONE LLC | CBOT | 00-RFT-091 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| FCSTONE LLC | CEI | RSRH-13-1823 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| FCSTONE LLC | CME | RSRH-13-1820 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| FCSTONE LLC | CME | 1208743CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| FCSTONE LLC | CME | 1006917CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| FCSTONE LLC | CME | 0905370CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| FCSTONE LLC | CME | 08-CH-0806 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $50000
|
| FCSTONE LLC | CME | 07CH0001 |
- GENERAL CONDUCT
|
- FINE $10000
|
| FCSTONE LLC | CME | 0702590CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| FCSTONE LLC | CME | 0702589CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| FCSTONE LLC | CME | 0702588CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| FCSTONE LLC | CME | 0702585CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FCSTONE LLC | CME | 07-CH-0003 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $50000
|
| FCSTONE LLC | CME | 0627794CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| FCSTONE LLC | CME | 0424634CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| FCSTONE LLC | CME | 0424337CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| FCSTONE LLC | CME | 0424290CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| FCSTONE LLC | CME | 0424116CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| FCSTONE LLC | CME | 0423886CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| FCSTONE LLC | CME | 0322370CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| FCSTONE LLC | CME | 0321659CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FCSTONE LLC | CME | 0018216BC |
- GENERAL CONDUCT
|
- FINE $15000
|
| FCSTONE LLC | ICE | 2011-018 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
- CEASE AND DESIST
|
| FCSTONE LLC | ICE | 2009-030 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1200
|
| FCSTONE LLC | ICE | 2008-012A |
- FINANCIAL
|
- FINE $345000
- CEASE AND DESIST
|
| FCSTONE LLC | KCBT | SP1207FC |
- FLOOR RECORDKEEPING
|
- FINE PAID $1000
- CEASE AND DESIST
- FINE $1000
|
| FCSTONE LLC | MGE | 09-I-19 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| FCSTONE LLC | MGE | 05-I-46 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| FCSTONE LLC | MGE | 05-I-33 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $4000
|
| FCSTONE LLC | MGE | 05-I-10 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| FCSTONE LLC | MGE | 04-I-37 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| FCSTONE LLC | MGE | 02-I-26 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| FCSTONE LLC | NYL | 2012-TP-105 |
- TRADE PRACTICE
|
- FINE PAID $10000
|
| FCSTONE LLC | NYME | 12-9172 FC STONE LLC |
- GENERAL CONDUCT
|
- FINE $1500
|
| FCSTONE LLC | NYME | 11-8684-BC FC STONE LLC |
- TRADE PRACTICE
|
- FINE PAID $22500
|
| EDCO MANAGEMENT CORPORATION | NFA | 87BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
|
| EDCO MANAGEMENT CORPORATION | CFTC | 89-4 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- ALJ ORDER
- COMPLAINT FILED
|
| WINDSOR TRADING | NFA | 89REG00010 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| EDWARD THOMAS TRADING CO | NFA | 13BCC00019 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS
- FINE (JOINTLY AND SEVERALLY) $25000
- WITHDRAW FROM MEMBERSHIP
- WITHDRAW PRINCIPAL STATUS
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
- REQUIRED TO TAPE RECORD INDF
|
| EDWARD THOMAS TRADING CO | NFA | 07BCC00034 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $5000
|
| EF HUTTON & COMPANY INC | CFTC | 88-3 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $125000
|
| EF HUTTON & COMPANY INC | CFTC | 86-11 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $20000
|
| EF HUTTON & COMPANY INC | CBOT | 87-MSI-51 |
- GENERAL CONDUCT
|
- FINE $1000
|
| EFL FUTURES LIMITED | CFTC | 13-17 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $125000
- COMMISSION ORDER
|
| EFL FUTURES LIMITED | CFTC | 12-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- JOINT OWED
- FINE $150000
- COMPLAINT FILED
|
| EFL FUTURES LIMITED | CBOT | RSRH-13-1376 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| EFL FUTURES LIMITED | CBOT | 06-MSI-15 |
- GENERAL CONDUCT
|
- FINE $62500
|
| EFLOORTRADE LLC | NFA | 13BCC00032 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
|
| PENSON FUTURES | CBOT | 99-MSR-12A |
- GENERAL CONDUCT
|
- FINE $1000
|
| PENSON FUTURES | CBOT | 99-EX-10A;B |
- FINANCIAL
|
- FINE $10000
|
| PENSON FUTURES | CBOT | 96-RRR-252 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| PENSON FUTURES | CBOT | 1105838CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| PENSON FUTURES | CBOT | 1005480CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| PENSON FUTURES | CBOT | 1005129CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| PENSON FUTURES | CBOT | 1005123CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| PENSON FUTURES | CBOT | 1004538CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| PENSON FUTURES | CBOT | 0903389CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| PENSON FUTURES | CBOT | 08-CH-0805 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $5000
|
| PENSON FUTURES | CBOT | 00_RFT-019 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| PENSON FUTURES | CME | 1107989CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| PENSON FUTURES | CME | 1007410CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| PENSON FUTURES | MGE | 10-I-12 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| PENSON FUTURES | MGE | 06-I-19 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| PENSON FUTURES | MGE | 00-I-26 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| PENSON FINANCIAL SERVICES INC | CME | 11-8531-BC |
- GENERAL CONDUCT
|
- CEASE AND DESIST
- FINE $15000
- FINE PAID $15000
|
| PENSON FINANCIAL SERVICES INC | ICE | 2012-016 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| PENSON FINANCIAL SERVICES INC | ICE | 2011-025 |
- TRADE PRACTICE
|
- FINE-SUMMARY $5000
|
| KCG AMERICAS LLC | CBOT | RSRH-12-1213 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| KCG AMERICAS LLC | CME | RSRH-12-1212 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| KCG AMERICAS LLC | NYME | RSRH-12-1214 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| EIGER INTERNATIONAL INC | NFA | 89BCC00031 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $15000
|
| EIGER INTERNATIONAL INC | NFA | 06BCC00036 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $15000
|
| EIGER INVESTMENT GROUP | NFA | 07MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP INDF
- MEMBER RESPONSIBILITY ACTION
|
| EIGER INVESTMENT GROUP | NFA | 07BCC00045 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| EINSTEIN CISVEST INC | NFA | 92BCC00015 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $15000
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| EINSTEIN CISVEST INC | CFTC | 94-9 |
- CFTC ADMINISTRATIVE ACTION
|
- CTA REGISTRATION REVOKED
- MAY NOT APPLY TO REGISTER
|
| EINSTEIN CISVEST INC | CFTC | 92-6427 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- PERMANENT INJUNCTION
|
| MERCHANTS TRADING COMPANY | CFTC | 90-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| MERCHANTS TRADING COMPANY | CFTC | 89-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $32000
|
| MERCHANTS TRADING COMPANY | CBOT | 91-EX -41 |
- OFFICE RECORDKEEPING
|
- FINE $7500
|
| MERCHANTS TRADING COMPANY | CBOT | 90-EX -41 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MERCHANTS TRADING COMPANY | CBOT | 89-RRR-236 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| EKC CONSULTING INC | CME | 0701404BC |
- TRADE PRACTICE
|
- FINE $12500
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE PAID $12500
|
| EL PASO MERCHANT ENERGY LP | CFTC | 03-09 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $20000000
|
| EL PASO MERCHANT ENERGY LP | NYME | 04-02ELPASO |
- TRADE PRACTICE
|
- CEASE AND DESIST
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $50000
|
| ELDERS FUTURES INC | CFTC | 87-7 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| ELDERS FUTURES INC | NYCE | 90-012 |
- FLOOR RECORDKEEPING
|
- FINE $200
|
| ELDERS FUTURES INC | NYCE | 90-011 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| PRISM ASSET MANAGEMENT INC | NFA | 93BCC00009 |
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| ELEVATION GROUP INC | CFTC | 12-CV-00862 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $
- FINE $
- JOINT OWED
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| ELITE FINANCIAL INVESTMENT INC | NFA | 94BCC00002 |
- FINANCIAL POSITION AND REPORTING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| EMPEROR INTERNATIONAL EXCHANGE CO. | CFTC | 95-2668 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| EMPEROR INTERNATIONAL EXCHANGE CO. | CFTC | 94-1162A |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- COMPLAINT FILED
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- DISGORGEMENT $196800
|
| ENGLAND MARK W | CFTC | 88-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES REVOKED
|
| ESPO COMMODITIES INC | CSCE | A96-09C |
- FINANCIAL
|
- FINE $5000
- CEASE AND DESIST
|
| AUREL BGC | ICE | 2012-083 |
- TRADE PRACTICE
|
- FINE PAID $30000
|
| F J REARDON INC | CFTC | 75-3 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES SUSPENDED 2 MTHS
- FCM REGISTRATION SUSPENDED
- CEASE AND DESIST ORDER
|
| F.C. & M. INVESTMENT CORP | CFTC | 87-2591HAA |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RETURN FUNDS
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| BRANDT PETER L | NFA | 87BCC00046 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
|
| WALTER EDWARD FAIR | NFA | 13REG00027 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| FAIRCHILD ARABATZIS AND SMITH INC | CFTC | 79-1671 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $0
- PERMANENT INJUNCTION
|
| FAIRCHILD ARABATZIS AND SMITH INC | CFTC | 78-52 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- CEASE AND DESIST ORDER
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- FCM REGISTRATION REVOKED
|
| FAIRFIELD CURRENCY GROUP INC | CFTC | 01-8350 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| FALCO & STEVENS INC | CFTC | 06 CV 1692 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- FINE $260000
- FREEZE ASSETS
- JOINT OWED
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| FALCON INVESTMENT CORP. | CFTC | 93-2765 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| FANNING JAMES V | CFTC | 83-8018WMH |
- CFTC INJUNCTIVE ACTION
|
- CONVICT CRIMINAL
- PERMANENT INJUNCTION
|
| RANDY FARBER | NFA | 99REG00008 |
- NFA REGISTRATION ACTION
|
- REGISTRATION RESTRICTIONS AND CONDITIONS LIFTED
- REGISTRATION CONDITIONED
|
| OSTER COMMUNICATIONS INC | CFTC | 96-6 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| OSTER COMMUNICATIONS INC | CFTC | 95-6221 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $670000
- PERMANENT INJUNCTION
|
| FCSTONE GROUP INC | CBOT | 98-MSI-2 |
- GENERAL CONDUCT
|
|
| FCSTONE GROUP INC | CBOT | 98-INV-17B |
- TRADE PRACTICE
|
- FINE $2500
|
| FCSTONE GROUP INC | CBOT | 92-FIN-40 |
- FINANCIAL POSITION AND REPORTING
- FINANCIAL
|
- FINE $7500
|
| FCSTONE GROUP INC | CBOT | 90-FIN-105 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| FCSTONE GROUP INC | CBOT | 89-EX -45 |
- FLOOR RECORDKEEPING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $12500
|
| FCSTONE GROUP INC | CBOT | 2000-MSR-15B |
- TRADE PRACTICE
|
- FINE $1250
|
| FARR INVESTMENTS LLC | NFA | 10AWD00002 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| FARR MAN CLEARING INC | CFTC | 85-44 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| FARR MANN INTERNATIONAL INC | CFTC | 85-44 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $25000
|
| FARR MANN INTERNATIONAL INC | CSCE | I91-22 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| FARVIEW INVESTMENTS LLC | NFA | 11BCC00027 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $7500
|
| SPIKE TRADING LLC | CBOT | 98-INV-02 |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| SPIKE TRADING LLC | CME | 974846CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUSPENDED AMOUNT $2500
- FINE $5000
|
| FC STONE LLC | CBOT | 1105835CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| FC STONE LLC | CME | 1107984CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| UNITED GLOBAL MARKETS LLC | NFA | 07MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| UNITED GLOBAL MARKETS LLC | NFA | 07BCC00026 |
- FINANCIAL
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
- FINE $40000
|
| FCT GROUP LLC | CME | 9917213CTRA |
- FLOOR RECORDKEEPING
|
- FINE $4000
|
| FCT GROUP LLC | CME | 96CH9603 |
- TRADE PRACTICE
|
- FINE $5000
|
| FCT GROUP LLC | CME | 964442CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| FCT GROUP LLC | CME | 964336FP |
- TRADE PRACTICE
|
- FINE $15000
|
| FCT GROUP LLC | CME | 963762FP |
- TRADE PRACTICE
|
- FINE $7500
|
| FCT GROUP LLC | CME | 93CH9306 |
- FINANCIAL
|
- FINE $1000
|
| FCT GROUP LLC | CME | 0118577CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| FED AND ASSOCIATES LLC | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $155000
|
| FEDERAL GOLD AND SILVER INC | CFTC | 80-36 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| FEDERAL GOLD EXCHANGE COMPANY | CFTC | 79-2778 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| FEDERAL TRADING CORP | NFA | 02BCC00012 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $75000
- RESTRICTIONS ON ACTIVITIES 1 YRS
- REQUIRED TO TAPE RECORD 2 YRS
|
| FEDERAL TRADING CORP | NFA | 01BCC00016 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $75000
- RESTRICTIONS ON ACTIVITIES 1 YRS
- REQUIRED TO TAPE RECORD 2 YRS
|
| MICHAEL SHAVER | NFA | 03BCC00023 |
- SALES PRACTICE
|
- AFFIRMED ON APPEAL - CFTC
- ON APPEAL - CFTC
- AFFIRMED ON APPEAL - APPEALS COMMITTEE
- ON APPEAL - NFA APPEALS COMMITTEE
- PENALTY STAYED - ON APPEAL
- FINE $2000
- REQUIRED TO TAPE RECORD 2 YRS
|
| FEDERATED MANAGEMENT GROUP INC | CFTC | 5:09-CV-01284 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- FINE $18000000
|
| FEDERBUSH CHARLES E | CFTC | 91-7 |
- CFTC ADMINISTRATIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- MUST LIQUIDATE POSITIONS
- TRADING PROHIBITION 1 YRS
- COMPLAINT FILED
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| FEIG GRAIN COMPANY | CBOT | 89-RRR-328 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| FELDMAN MCCRACKEN & CO | CBOT | 95-RRR-216 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| FENCHURCH CAPITAL MANAGEMENT LTD | CFTC | 96-7 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $600000
- COMMISSION ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| FERGUSON FINANCIAL SERVICES | CFTC | 1:00CV0300 |
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- COST AWARD
- RETURN FUNDS
- STOP SOLICITING
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- PERMANENT INJUNCTION
|
| FERRIS BAKER WATTS LLC | NFA | 02BCC00026 |
- FINANCIAL
|
- FINE $2000
|
| FERRUZZI FINANZIARIA | CBOT | 90-FIN-112 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| FERRUZZI FINANZIARIA | CBOT | 89-MSR-23 |
- SPECULATIVE POSITION LIMIT
- GENERAL CONDUCT
|
- OTHER ACTION
- FINE $1650000
- CEASE AND DESIST
|
| FERRUZZI FINANZIARIA | CBOT | 89-FIN-26 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| FG CAPITAL LLC | NFA | 11BCC00006 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| AQUA CAPITAL ADVISORS LLC | NFA | 10REG00009 |
- NFA REGISTRATION ACTION
|
- OTHER--SEE NARRATIVE
|
| FGL COMMODITY SERVICES INC | CFTC | 85-3-SD |
- CFTC ADMINISTRATIVE ACTION
|
|
| GRAY JOHN ARTHUR | NFA | 91BCC00009 |
- SALES PRACTICE
|
- EXPELLED FROM MEMBERSHIP
|
| GRAY JOHN ARTHUR | NFA | 90MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| FIBIT.COM | CFTC | CV 02-4898 |
- CFTC INJUNCTIVE ACTION
|
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
|
| FIBIT.COM | CFTC | 02 4898 |
- CFTC INJUNCTIVE ACTION
|
|
| SYMMETRY WAVE INC | NFA | 98BCC00012 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- FINE $15000
|
| FIC, INC. | CFTC | 93-2765 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RETURN FUNDS
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| COMMTRADE CORP | NFA | 03BCC00034 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- REQUIRED TO TAPE RECORD 6 MTHS
- FINE $10000
|
| FIDELITY FIRST CAPITAL CORP | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| VINCENT CAPITAL GROUP LLC | NFA | 13BCC00028 |
- GENERAL CONDUCT
- FINANCIAL
|
|
| VINCENT CAPITAL GROUP LLC | NFA | 12REG00009 |
- NFA REGISTRATION ACTION
|
- REGISTRATION CONDITIONED
|
| VINCENT CAPITAL GROUP LLC | NFA | 12BCC00015 |
- SALES PRACTICE
- REGISTRATION
|
- FINE (JOINTLY AND SEVERALLY) $25000
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- OTHER--SEE NARRATIVE
|
| FINANCIAL RISK INVESTMENTS | NFA | 05BCC00012 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
|
| FINANCIAL RISK MANAGEMENT | CFTC | 06-61812 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $130000
- JOINT OWED
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| FINANCIAL ROBOTICS | CFTC | H-11-2446 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 98-RFT-108 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 98-RFT-03 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 97-RFT-131 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 97-RFT-004 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 95-RRR-215 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 94-MSR-01 |
- OFFICE RECORDKEEPING
|
- FINE $3500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 2002-INV-1B |
- TRADE PRACTICE
|
- FINE $15000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 2000-RRI-33 |
- OFFICE RECORDKEEPING
|
- FINE $15000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 13-9223 |
- OFFICE RECORDKEEPING
|
- FINE $3000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 1106254CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 09-CH-0904 |
- CLEARING PROCEDURES
|
- FINE-SUMMARY $25000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 07-RFT-033 |
- FLOOR RECORDKEEPING
|
- FINE $4000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 07-RFT-002 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 06-RFT-005 AND 06-RFT-038 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 05-RFT-043 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 02-RFT-022 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CBOT | 00-RFT-026 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | RSRH-13-1650 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | RSRH-13-1646 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 13-9225 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 1007760CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 0906578CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 0802264CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 0702557CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 0322973CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | CME | 0118420CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CREDIT SUISSE SECURITIES USA LLC | NYME | RSRH-13-1652 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $6500
|
| CREDIT SUISSE SECURITIES USA LLC | NYME | RSRH-13-1648 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| CREDIT SUISSE SECURITIES USA LLC | NYME | 13-9224 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| CREDIT SUISSE SECURITIES USA LLC | NYME | 11-08113-BC - CREDIT SUISSE SEC. |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $25000
- DISGORGEMENT PAID $9610
|
| CREDIT SUISSE FIRST BOSTON FUTURES INC | CME | 985432CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FIRST BRISTOL GROUP INC | CFTC | 02-61160 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- MAKE RESTITUTION TO CUSTMERS
- CONTINGENT
- FINE $240000
- FREEZE ASSETS
- PROTECT BOOKS
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| FIRST ENERGY INVESTMENTS INC | NFA | 93BCC00012 |
- FINANCIAL POSITION AND REPORTING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| FIRST INTERNATIONAL GROUP INC | CFTC | 06-20979 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
|
| FIRST INTERNATIONAL METALS INC | CFTC | 85-6704 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCOUNT ORDER
- RECEIVERSHIP
- DISGORGEMENT $0
|
| FIRST INTERSTATE FUTURES CORPORATION | CBOT | 89-EX -41 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| FIRST INTERSTATE FUTURES CORPORATION | CBOT | 87-EX -59 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| FIRST OPPORTUNITIES MANAGEMENT GROUP INC | CFTC | 09 CV 1783 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| SLK FUTURES LTD | NYFE | OT-4 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $15
|
| SLK FUTURES LTD | NYFE | OT-3 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| SLK FUTURES LTD | NYFE | F93-3 |
- GENERAL CONDUCT
|
- FINE $37500
- CENSURE
|
| DEAN PAUL HOFFMAN | NFA | 97BCC00006 |
- SALES PRACTICE
|
- SUSPENDED FROM MEMBERSHIP
- FINE $7500
- MAY NOT SUPERVISE 2 YRS
- ENHANCED PROCEDURES REQUIRED
- RESTRICTIONS ON ACTIVITIES 2 YRS
- REQUIRED TO TAPE RECORD 2 YRS
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
|
| CYCLONE TRADING SYSTEMS LLC | NFA | 11BCC00012 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- FINE (JOINTLY AND SEVERALLY) $7500
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- OTHER--SEE NARRATIVE
|
| FOREFRONT INVESTMENTS CORPORATION | NFA | 07MRA00003 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| FOREFRONT INVESTMENTS CORPORATION | NFA | 07BCC00011 |
- FINANCIAL
- SALES PRACTICE
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| FOREFRONT INVESTMENTS CORPORATION | CFTC | 3:07CV152 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- FINE $130000
|
| FOREFRONT INVESTMENTS LP | CFTC | 07-21267 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1065459.61
- JOINT OWED
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| FOREX LIQUIDITY LLC | NFA | 08BCC00023 |
- FINANCIAL
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
|
| FOREX LIQUIDITY LLC | NFA | 07MRA00013 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| FOREX LIQUIDITY LLC | CFTC | SACV 07-1437-CJC |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $400000
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAY NOT OPERATE AS PRINCIPAL
|
| FORINEX INVESTMENT CORP | CFTC | 05-61903 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- DISGORGEMENT $3138067.57
- PERMANENT INJUNCTION
- PROTECT BOOKS
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- FINE $9928999.8
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
|
| FORINVEST GROUP | CFTC | 1:11-CV-00564 |
- CFTC INJUNCTIVE ACTION
|
- FINE $280000
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- COMPLAINT FILED
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 2002-INV-25B |
- GENERAL CONDUCT
|
- FINE $5000
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 05-RMS-028 |
- GENERAL CONDUCT
|
- FINE $1000
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 05-RFT-037 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 05-RFT-001 |
- FLOOR RECORDKEEPING
|
- FINE $1250
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 03-RFT-003 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 02-RFT-073 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| FORTIS CLEARING CHICAGO LLC | CBOT | 01-RFT-071 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| FORTIS CLEARING CHICAGO LLC | CME | 0627761CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| FORTIS CLEARING CHICAGO LLC | CME | 0524912CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| FORTIS CLEARING CHICAGO LLC | CME | 0423502CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| FORTIS CLEARING CHICAGO LLC | CME | 0322093CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| FORTIS CLEARING CHICAGO LLC | CME | 0321755CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| FORTIS CLEARING CHICAGO LLC | CME | 0221460CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| STOTLER AND COMPANY | CFTC | 90-18 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| STOTLER AND COMPANY | CFTC | 80-7 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $10000
|
| STOTLER AND COMPANY | CBOT | 90-INV-43 |
- TRADE PRACTICE
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 90-INV-09A |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- FINE $20000
|
| STOTLER AND COMPANY | CBOT | 90-FIN-113 |
- GENERAL CONDUCT
- FINANCIAL
|
- OTHER ACTION
|
| STOTLER AND COMPANY | CBOT | 89-FIN-171 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 89-EX -48 |
- FINANCIAL
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- OTHER ACTION
|
| STOTLER AND COMPANY | CBOT | 89-EX -177 |
- OFFICE RECORDKEEPING
|
- FINE $5000
|
| STOTLER AND COMPANY | CBOT | 89-EX -171 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 89-EX -130 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 89-EX -117 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 89-EX -113 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 88-EX -302 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 88-EX -275 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 88-EX -259 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 88-EX -253 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| STOTLER AND COMPANY | CBOT | 88-EX -109 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| STOTLER AND COMPANY | CBOT | 88-EX -103 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| STOTLER AND COMPANY | CBOT | 88-EX -102 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| STOTLER AND COMPANY | CBOT | 87-EX -302 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| STOTLER AND COMPANY | CBOT | 87-EX -262 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| FREEHLING & CO | CFTC | 85-36 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $2500
|
| FRIEDLANDER CAPITAL MANAGEMENT CORPORATION | CFTC | 03 CV 8319 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- JOINT OWED
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| FRONTLINE FINANCIAL INC | NFA | 09BCC00032 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- WITHDRAW FROM MEMBERSHIP PERM
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| FRONTLINE ADVISORS LLC | NFA | 09BCC00032 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- WITHDRAW FROM MEMBERSHIP PERM
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| FSG TRADING INC | NYBT | 2005-060 |
- TRADE PRACTICE
|
- FINE $500
|
| FSI FUTURES INC | NFA | 93BCC00002 |
- FINANCIAL
|
- FINE $6000
|
| FSI FUTURES INC | NFA | 88BCC00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- OTHER--SEE NARRATIVE
- FINE $35000
|
| FSI FUTURES INC | NFA | 84BCC00007 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $11500
- CEASE AND DESIST
|
| FSI FUTURES INC | CFTC | 95-9 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $250000
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| FSI FUTURES INC | CFTC | 95-8 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $200000
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| FSI FUTURES INC | CFTC | 85-37 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $2500
|
| KONIECZKA RICHARD J | NFA | 84MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
- OTHER--SEE NARRATIVE
|
| KONIECZKA RICHARD J | NFA | 84BCC00006 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $6000
- CEASE AND DESIST
|
| FUTURES FIRST OF ARIZONA INC | NFA | 89BCC00011 |
- FINANCIAL
- OFFICE RECORDKEEPING
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| RICHARD ALLEN ESTRADA | NFA | 12AWD00001 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| TRADERS NETWORK LLC | NFA | 09BCC00031 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $15000
|
| FX DIVERSIFIED LLC | NFA | 12BCC00028 |
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| IKON GLOBAL MARKETS INC | NFA | 13BCC00004 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| IKON GLOBAL MARKETS INC | NFA | 10BCC00029 |
- GENERAL CONDUCT
|
- FINE $320000
- OTHER--SEE NARRATIVE
|
| IKON GLOBAL MARKETS INC | NFA | 09BCC00045 |
- GENERAL CONDUCT
|
- DISMISSED
- FINE $20000
|
| G & C INTERNATIONAL, LTD. | CFTC | 91-C3262 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $0
- ACCOUNT ORDER
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- RETURN FUNDS
|
| G & C INVESTMENTS, LTD. | CFTC | 91-C3262 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $0
- ACCOUNT ORDER
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- RETURN FUNDS
|
| GULF COMMODITY MANAGEMENT INC | NFA | 84BCC00010 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- CEASE AND DESIST
- GIVE NOTICE OF ACTION
- FINE $50000
|
| G HAWKER & STONE LLC | CFTC | 2:03CV-0260 |
- CFTC INJUNCTIVE ACTION
|
- JOINT OWED
- FINE $120000
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- STOP SOLICITING
- PROTECT BOOKS
- PERMANENT INJUNCTION
- ACCESS BOOKS
- TRADING PROHIBITION
- FREEZE ASSETS
|
| G STEWART AND ASSOCIATES INC | CFTC | 78-43 |
- CFTC ADMINISTRATIVE ACTION
|
- CPO REGISTRATION REVOKED
|
| G7 ADVISORY SERVICES | CFTC | 05-80313 |
- CFTC INJUNCTIVE ACTION
|
- FINE $1500000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| GREGORY ANTONUCCI | CME | 0424132CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| GREGORY ANTONUCCI | CME | 0220291CTRB |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| GABRIEL BROKERAGE INC | NFA | 84MRA00009 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| GABRIEL BROKERAGE INC | CFTC | 83-8049RLC |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| GAGES FERTILIZER & GRAIN INC | CFTC | 10-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- JOINT OWED
- DISGORGEMENT $100000
- FINE $75000
- COMPLAINT FILED
|
| GAHMA CORPORATION | CFTC | 2:00CV00622 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
|
| GAHMA CORPORATION | CFTC | 1:02CV00101 |
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- PROTECT BOOKS
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- PRELIMINARY INJUNCTION
|
| GAIN CAPITAL GROUP LLC | NFA | 10BCC00015 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $459000
|
| GAIN CAPITAL GROUP LLC | NFA | 06BCC00037 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $100000
|
| GAINCAPITAL INC | CFTC | 3:09-CV-387 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| GALAXY RESOURCES 2000 LLC | CFTC | 06CV 0020 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $400000
- JOINT OWED
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| GALLERY GROUP LLC THE | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| WORLDWIDE ASSOCIATES LLC | NFA | 08BCC00003 |
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 6 MTHS
- FINE $15000
|
| GAMBER GRAIN | CFTC | 85-38 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $500
|
| GRANDVIEW HOLDING CORP | NFA | 94BCC00007 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- DISMISSED
|
| GRANDVIEW HOLDING CORP | NFA | 91BCC00027 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- CEASE AND DESIST
- ENHANCED PROCEDURES REQUIRED
- REPORT TO NFA
- FINE $40000
|
| GRANDVIEW HOLDING CORP | NFA | 88BCC00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- FINE $17500
|
| GRANDVIEW HOLDING CORP | CFTC | 95-9 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- IB REGISTRATION REVOKED
- COMPLAINT FILED
|
| FITZPATRICK KEVIN S | NFA | 88BCC00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- CEASE AND DESIST
- RESTRICTIONS ON ACTIVITIES 3 YRS
- WITHDRAW FROM MEMBERSHIP
- FINE $5000
|
| ICAP FUTURES LLC | CBOT | 2006-INV-1A |
- TRADE PRACTICE
|
- FINE $22500
|
| ICAP FUTURES LLC | CBOT | 06-RFT-036 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ICAP FUTURES LLC | ICE | 2011-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ICAP FUTURES LLC | ICE | 2010-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ICAP FUTURES LLC | ICE | 2010-009 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| ICAP FUTURES LLC | ICE | 2010-005 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| ICAP FUTURES LLC | ICE | 2009-026 |
- TRADE PRACTICE
|
- FINE $20000
- CEASE AND DESIST
|
| ICAP FUTURES LLC | ICE | 2008-044 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ICAP SECURITIES LIMITED | CME | 12-8852-BC |
- TRADE PRACTICE
|
- FINE PAID $10000
- FINE $10000
|
| GARFIELD SUN HING BULLION LIMITED | CFTC | 92-9 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $140000
- TRADING PRIVILEGES REVOKED
- JOINT OWED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| GARFIELD SUN HING BULLION LIMITED | CFTC | 90-5214R |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- PERMANENT INJUNCTION
|
| GARVEY COMMODITIES CORP | CBOT | 91-EX -507 |
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| GARVEY COMMODITIES CORP | CBOT | 90-EX -27 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $7500
|
| GARVEY COMMODITIES CORP | CBOT | 89-FIN-92 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- FINE $7500
|
| GARY B. ANDERSON TRUST | CFTC | 95-C-5422 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| GASS CAPITAL MARKETS GMBH | XEUS | 05-01 |
- TRADE PRACTICE
|
- FINE $30000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 99-RFT-204 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 98-RFT-78 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 98-RFT-178 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 97-RFT-178 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 97-RFT-082 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 97-MSI-02 |
- GENERAL CONDUCT
|
- FINE $1000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 96-RRR-371 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 95-RRR-380 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 95-RRR-260 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 92-EX -035 |
- FINANCIAL POSITION AND REPORTING
- FINANCIAL
|
- FINE $7500
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 91-EX -50 |
- FINANCIAL
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $4750
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 2000-MSR-22 |
- TRADE PRACTICE
|
- FINE $10000
|
| ING US SEC FUTURES & OPTIONS INC | CBOT | 00-RFT-206 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ING US SEC FUTURES & OPTIONS INC | CEI | 13/92 |
- FINANCIAL
|
- FINE $5000
|
| ING US SEC FUTURES & OPTIONS INC | CME | 996728CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| ING US SEC FUTURES & OPTIONS INC | CME | 975044CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| ING US SEC FUTURES & OPTIONS INC | CME | 0017688CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| ING US SEC FUTURES & OPTIONS INC | CSCE | I93-78 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| ING US SEC FUTURES & OPTIONS INC | CSCE | A92-SP01C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| GATOR TRADING PARTNERS LLC | NYME | 12-8815-BC GATOR TRADING PARTNERS |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $17500
- DISGORGEMENT PAID $7823.73
|
| GAUGHAN THOMAS J | NFA | 83MRA00010 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| GAY WILSON KELL JR | NFA | 91BCC00001 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
|
| GAYLE COMMODITIES INC | NFA | 05BCC00024 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| GBFX LLC | CFTC | 11 CIV 6241 |
- CFTC INJUNCTIVE ACTION
|
- FINE $70000
- JOINT OWED
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
|
| GCC TRANSFER CORP | CFTC | 89-11 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $15000
|
| GLOBAL COMMODITY SYSTEMS LLC | NFA | 07REG00019 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| GEISEL GRAIN COMPANY | CFTC | 12-CV-81311 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- MAY NOT APPLY TO REGISTER
- ACCOUNT ORDER
- PROTECT BOOKS
- TRADING PROHIBITION
- ACCESS BOOKS
- PRELIMINARY INJUNCTION
|
| GELBER GROUP LLC | CFTC | 13-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $750000
- COMMISSION ORDER
|
| GELBER GROUP LLC | CBOT | 99-RFT-209 |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| GELBER GROUP LLC | CBOT | 99-RFT-126 |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| GELBER GROUP LLC | CBOT | 99-EX-3 |
- CLEARING PROCEDURES
|
- FINE $2500
|
| GELBER GROUP LLC | CBOT | 98-RFT-185 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| GELBER GROUP LLC | CBOT | 98-RFT-085 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| GELBER GROUP LLC | CBOT | 97-RFT-185 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| GELBER GROUP LLC | CBOT | 96-RRR-264 |
- FLOOR RECORDKEEPING
|
|
| GELBER GROUP LLC | CBOT | 95-RRR-370 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| GELBER GROUP LLC | CBOT | 95-RRR-272 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| GELBER GROUP LLC | CBOT | 95-EX-07 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| GELBER GROUP LLC | CBOT | 93-EX -011 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| GELBER GROUP LLC | CBOT | 90-MSI-81 |
- GENERAL CONDUCT
|
- FINE $5000
|
| GELBER GROUP LLC | CBOT | 2002-INV-11 |
- GENERAL CONDUCT
|
- FINE $20000
|
| GELBER GROUP LLC | CBOT | 1206425CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| GELBER GROUP LLC | CBOT | 1005213CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| GELBER GROUP LLC | CBOT | 0802527CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| GELBER GROUP LLC | CBOT | 03-RFT-084 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| GELBER GROUP LLC | CBOT | 01-RFT-045 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| GELBER GROUP LLC | CBOT | 00-RFT-211 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| GELBER GROUP LLC | CBOT | 00-RFT-065 |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| GELBER GROUP LLC | CME | RSRH-12-1212 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| GELBER GROUP LLC | CME | 1208573CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| GELBER GROUP LLC | CME | 09-06442-BC |
- TRADE PRACTICE
|
- FINE $75000
- FINE PAID $75000
|
| GELBER GROUP LLC | CME | 0804884CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| GELBER GROUP LLC | CME | 0322829CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| GELBER GROUP LLC | CME | 0221391CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| GELBER GROUP LLC | CME | 0221040CTRT |
- FLOOR RECORDKEEPING
|
- FINE-FURTHER VIOLATION $1500
|
| GELBER GROUP LLC | CME | 0119850CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| GELBER GROUP LLC | CME | 0118468CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| GELBER GROUP LLC | CME | 0017549CTRA |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| GELBER GROUP LLC | ICE | 2010-060 |
- TRADE PRACTICE
|
- FINE $100000
- CEASE AND DESIST
|
| GELBER GROUP INC | CBOT | 98-INV-9B |
- TRADE PRACTICE
|
- FINE $10000
|
| GELBER GROUP INC | CME | 985509CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| MAN INTERNATIONAL INC | CFTC | 94-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $325000
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- ALJ ORDER
- COMPLAINT FILED
- COMMISSION ORDER
- DISMISSED
|
| MAN INTERNATIONAL INC | CFTC | 88-17 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $33000
|
| MAN INTERNATIONAL INC | CBOT | 94-FIN-19A |
- GENERAL CONDUCT
|
- FINE $100000
|
| MAN INTERNATIONAL INC | CBOT | 93-MSI-017 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| MAN INTERNATIONAL INC | CBOT | 91-INV-12 |
- REGISTRATION
|
- FINE $10000
|
| MAN INTERNATIONAL INC | CBOT | 91-INV-02 |
- FLOOR RECORDKEEPING
|
- FINE $8500
|
| MAN INTERNATIONAL INC | CBOT | 89-EX -257 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| MAN INTERNATIONAL INC | CBOT | 89-EX -190 |
- OFFICE RECORDKEEPING
|
- FINE $1500
|
| MAN INTERNATIONAL INC | CBOT | 88-RRR-75 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| MAN INTERNATIONAL INC | CEI | 32/644/91 |
- GENERAL CONDUCT
|
- FINE $2500
- CEASE AND DESIST
|
| MAN INTERNATIONAL INC | CME | 91111BC |
- TRADE PRACTICE
|
- FINE $10000
|
| MAN INTERNATIONAL INC | CSCE | I96-112 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| MAN INTERNATIONAL INC | CSCE | I89-106 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| MAN INTERNATIONAL INC | NYME | 95-02 |
- FINANCIAL
|
- FINE $30000
- CEASE AND DESIST
|
| MAN INTERNATIONAL INC | NYME | 93-17 |
- FINANCIAL
|
- FINE $30000
- CEASE AND DESIST
|
| MAN INTERNATIONAL INC | NYME | 00-09 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- CEASE AND DESIST
- FINE $60000
|
| GEM INTERNATIONAL COMMODITIES LLC | NFA | 12BCC00004 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- WITHDRAW FROM MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| GEM INTERNATIONAL COMMODITIES LLC | NFA | 06BCC00042 |
- GENERAL CONDUCT
|
- FINE $1500
|
| TAURUS CORPORATION | NFA | 88BCC00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $15000
- CEASE AND DESIST
|
| GEMINI FINANCIAL CORPORATION | NFA | 02BCC00011 |
- FINANCIAL
|
- FINE $2000
|
| GEMINI INVESTMENTS INC | NFA | 91BCC00017 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| GENERAL MILLS OPERATIONS INC | MGE | 03-I-12 |
- CLEARING PROCEDURES
|
- FINE $500
|
| GENESIS HOLDING GROUP LTD | NFA | 99BCC00001 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| GENESIS INVESTMENTS CORPORATION | CFTC | 86-H-4366 |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- RETURN FUNDS
- COST AWARD
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- FREEZE ASSETS
|
| INTEGRAL INVESTMENT MANAGEMENT LP | NFA | 02BCC00003 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| GENESIS WEALTH MANAGEMENT LLC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND IV LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| GENEVA ROTH GROUP INC THE | NFA | 98DUE00005 |
- NFA DUES SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| GENTILE COMMODITIES INC | NYBT | 2001-237(B) |
- FLOOR RECORDKEEPING
|
- FINE $10000
- CEASE AND DESIST
|
| GERMANCER II INC | CFTC | CV05 2660 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $3000000
- TRADING PROHIBITION
- JOINT OWED
- PERMANENT INJUNCTION
- STOP SOLICITING
- FINE $9000000
|
| GLOBAL FUTURES TRADING | NFA | 10BCC00010 |
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| GID GROUP INC | CFTC | 11-CV-03068 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $1054425
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| RANDOLPH JACOB GINSBERG | NFA | 99REG00039 |
- NFA REGISTRATION ACTION
|
- REGISTRATION RESTRICTIONS AND CONDITIONS LIFTED
- REGISTRATION RESTRICTED
|
| RANDOLPH JACOB GINSBERG | NFA | 11BCC00009 |
- GENERAL CONDUCT
|
- REQUIRED TO TAPE RECORD 1 YRS
- FINE (CONTINGENT) $5000
- TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 18 MTHS
- TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 18 MTHS
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 18 MTHS
- OTHER--SEE NARRATIVE
|
| GLOBAL CURRENCIES LTD | CFTC | 97-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- ALJ ORDER
- OTHER (SEE NARRATIVE)
- FINE $3729638.79
- DEFAULT ORDER
|
| GLOBEX BULLION & FINANCIAL SERVICES CORP | CFTC | 97-7422 |
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- PRELIMINARY INJUNCTION
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $2947360.41
- PERMANENT INJUNCTION
- JOINT OWED
- ACCOUNT ORDER
- MAKE RESTITUTION TO CUSTMERS
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
- STOP SOLICITING
|
| GNOME INVESTMENTS LTD | CFTC | 79-828 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| GNP COMMODITIES INC | NFA | 89BCC00017 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $30000
|
| GNP COMMODITIES INC | NFA | 87BCC00026 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
- CEASE AND DESIST
|
| GNP COMMODITIES INC | CFTC | 92-14 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| GNP COMMODITIES INC | CFTC | 92-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| GNP COMMODITIES INC | CFTC | 89-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $500000
- TRADING PRIVILEGES SUSPENDED 24 MTHS
- ALJ ORDER
- FCM REGISTRATION REVOKED
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| GNP COMMODITIES INC | CBOT | 90-RRR-219 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| GNP COMMODITIES INC | CBOT | 89-RRR-205 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| GNP COMMODITIES INC | CBOT | 89-MSR-16 |
- TRADE PRACTICE
|
- CEASE AND DESIST
|
| GNP COMMODITIES INC | CME | 90CH9008 |
- FINANCIAL
|
- FINE $12500
|
| GNP COMMODITIES INC | CME | 90CH9003 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- FINE $10000
|
| GNP COMMODITIES INC | CME | 87CRCC2003 |
- TRADE PRACTICE
|
- RESTITUTION TO CUSTOMER(S) $0
- FINE $100000
|
| ALBERT GONZALEZ | NFA | 07BCC00047 |
- SALES PRACTICE
|
- FINE $10000
- REQUIRED TO TAPE RECORD 1 YRS
- TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS
|
| OASIS PUBLISHING CORP | CFTC | 00-09 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| GOVERNMENT OF SINGAPORE INVESTMENT CORP PTE LTD | CBOT | 2007-INV-9A |
- TRADE PRACTICE
|
- FINE $40000
|
| GRAHAM STREET FOREX GROUP LLC | CFTC | 2:10-CV-02893 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $2871438
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- DEFAULT ORDER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
|
| ELDON A GRESHAM | CFTC | 3 09-CV-75 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $2710454.3
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- STOP SOLICITING
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- FINE $8131362.9
- PERMANENT INJUNCTION
|
| JEFFREY GROENDYKE | CFTC | 11-CV-00448 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $420000
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| H CORMAN & CO LLC | CBOT | 94-EX-26 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| TY HAFLEY | NFA | 11REG00024 |
- NFA REGISTRATION ACTION
|
- REGISTRATION CONDITIONED
|
| HAGERTY GRAIN CO INC | CBOT | 95-RRR-316 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| HAGERTY GRAIN CO INC | CBOT | 2002-INV-6B |
- GENERAL CONDUCT
|
- FINE $1000
|
| HAIGH FINANCIAL GROUP LTD | NFA | 89REG00016 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| HAINKE & ANDERSON TRADING LLC | CFTC | 07 CIV 2770 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $260000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| HALIFAX INVESTMENT SERVICES LIMITED | CFTC | 13-CV-00892 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| MATTHEW L HALL | CFTC | 13-32 |
- CFTC ADMINISTRATIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| HAMILTON ADVISORS LIMITED | CEI | 28/601/91 |
- TRADE PRACTICE
|
- FINE $25000
|
| RALEIGH CAPITAL MANAGEMENT INC | NFA | 09MRA00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| RALEIGH CAPITAL MANAGEMENT INC | CFTC | SD 12-01 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| RALEIGH CAPITAL MANAGEMENT INC | CFTC | 1:09-CV-06780 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $3015000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| HAMILTON WILLIAMS LLC | NFA | 07BCC00015 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $90000
|
| HAMLIN MERCER GROUP INC | CFTC | 07-21267 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $3329524.5
- JOINT OWED
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| SAUL STONE & COMPANY LLC | NFA | 86BCC00006 |
- GENERAL CONDUCT
|
- FINE $50000
- CEASE AND DESIST
|
| SAUL STONE & COMPANY LLC | CFTC | 86-5 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $100000
|
| SAUL STONE & COMPANY LLC | CBOT | 97-RFT-054 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| SAUL STONE & COMPANY LLC | CBOT | 91-RRR-235 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| SAUL STONE & COMPANY LLC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| SAUL STONE & COMPANY LLC | CBOT | 91-INV-23 |
- TRADE PRACTICE
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| SAUL STONE & COMPANY LLC | CBOT | 89-RRR-270 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| SAUL STONE & COMPANY LLC | CBOT | 89-INV-42 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| SAUL STONE & COMPANY LLC | NYFE | OT-9 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $50
|
| SAUL STONE & COMPANY LLC | NYFE | OT-7 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| SAUL STONE & COMPANY LLC | NYFE | OT-6 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| SAUL STONE & COMPANY LLC | NYFE | OT-5 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $90
|
| SAUL STONE & COMPANY LLC | NYFE | OT-4 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5
|
| SAUL STONE & COMPANY LLC | NYFE | OT-3 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10
|
| ROBIN STATES | CFTC | 08-22027-CIV |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $910000
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
|
| HANFORD INVESTMENTS LTD | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| HANIFEN IMHOFF INC | NFA | 92BCC00033 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
- CEASE AND DESIST
|
| HANOVER TRADING CORP. | CFTC | 98 CIV 1365 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- STOP SOLICITING
- PROTECT BOOKS
|
| HANSEATIC CORPORATION | NFA | 83BCC00007 |
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- CEASE AND DESIST
- GIVE NOTICE OF ACTION
- FINE $25000
|
| FORTIS INVESTMENT MANAGEMENT USA INC | CFTC | 09-05 |
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $
- COMPLAINT FILED
|
| HARBOR LIGHT ASSET MANAGEMENT LLC | CFTC | 12-CV-00758 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| HARBORLIGHT GLOBAL CAPITAL MANAGEMENT LLC | NFA | 13REG00020 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| HARD ASSET LENDING GROUP LLC | CFTC | 12-CV-81311 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- MAY NOT APPLY TO REGISTER
- ACCOUNT ORDER
- PROTECT BOOKS
- TRADING PROHIBITION
- ACCESS BOOKS
- PRELIMINARY INJUNCTION
|
| HARDWICK AND WELLS COMMODITIES INC | CFTC | 83-19 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $100000
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| HARKINS GRAIN COMPANY | CBOT | 89-RRR-210 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| HARLOW DAVID E | NFA | 85MRA00021 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| HAROMY TULI P | NFA | 02BCC00008 |
- FINANCIAL
|
- SUSPENSION LIFTED
- SUSPENDED FROM MEMBERSHIP
- FINE $4000
|
| HARRINGTON ADVISORY SEVICES SL | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- JOINT OWED
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- DISGORGEMENT $955041
- PERMANENT INJUNCTION
- FINE $9500000
- DEFAULT ORDER
- TRADING PROHIBITION
|
| HARRINGTON FINANCIAL & ENERGY ADVISORS | NFA | 05BCC00006 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| HARRIS FUTURES CORPORATION | CBOT | 97-RFT-015 |
- FLOOR RECORDKEEPING
|
|
| HARRIS FUTURES CORPORATION | CBOT | 96-RRR-334 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| HARRIS FUTURES CORPORATION | CBOT | 96-MSI-05 |
- GENERAL CONDUCT
|
- FINE $250
|
| HARRIS FUTURES CORPORATION | CBOT | 91-EX -11 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| HARRIS FUTURES CORPORATION | CBOT | 90-INV-39 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $5000
|
| HARRIS FUTURES CORPORATION | CBOT | 89-RRR-211 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| HARRIS FUTURES CORPORATION | CBOT | 89-EX -15 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| HARRIS WILLIAM B | NFA | 86REG00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- REGISTRATION REVOKED
|
| HARRISON GEORGE R | CFTC | 04-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $18000
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| HGSE COMMODITIES INC | NFA | 86BCC00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $100000
- EXPELLED FROM MEMBERSHIP
|
| HGSE COMMODITIES INC | NFA | 85MRA00013 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| HARRISON PRESCOTT INC | CFTC | 79-4313 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| HARTFORD FINANCIAL GROUP INC | NFA | 98BCC00013 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| HARTFORD FINANCIAL GROUP INC | CFTC | 98-6564 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $330000
- COMPLAINT FILED
|
| HARTFORD MUTUAL FUNDS, INC, THE | CFTC | 99 CIV 9669 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
- STOP SOLICITING
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
|
| HARTFORD MUTUAL FUNDS, INC, THE | CFTC | 99 CIV 9669 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
- STOP SOLICITING
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
|
| HEINOLD COMMODITIES INC | CFTC | 85-45 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $20000
|
| HEINOLD COMMODITIES INC | CFTC | 80-28 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $10000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED
|
| HARVEST INVESTMENT GROUP INC | NFA | 11BCC00025 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- WITHDRAW FROM MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
|
| HARVEY B POLLAK AND COMPANY | CFTC | 80-32 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $25000
- TRADING PRIVILEGES SUSPENDED 24 MTHS
- JOINT OWED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER 5 YRS
|
| HAYES GRAIN COMPANY | CBOT | 89-RRR-212 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| INTL HENCORP FUTURES LLC | CFTC | 05-06 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $50000
- JOINT OWED
- COMPLAINT FILED
|
| HENRY POLLAK AND COMPANY INC | CFTC | 80-32 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $10000
- TRADING PRIVILEGES REVOKED
- JOINT OWED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| HIGH SOUTH REALTY LLC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| HIGHLAND STONE CAPITAL MANAGEMENT LLC | CFTC | 11 CIV 5209 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $486915.84
- FINE $1352293.41
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- JOINT OWED
|
| ELLIOTT GREGORY WILLIAM | NFA | 98BCC00022 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| ELLIOTT GREGORY WILLIAM | CFTC | 03-07 |
- CFTC ADMINISTRATIVE ACTION
|
- ALJ DECISION
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
- FINE $25000
|
| I F C TRADING INC | CFTC | CV 03 3577 |
- CFTC INJUNCTIVE ACTION
|
- FINE $3840000
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT OPERATE AS PRINCIPAL
|
| KESSLER ASHER CLEARING LP | CBOT | 92-RRR-407 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| KESSLER ASHER CLEARING LP | CBOT | 91-RRR-228 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| KESSLER ASHER CLEARING LP | CBOT | 89-RRR-222 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| KESSLER ASHER CLEARING LP | CBOT | 89-MSI-09 |
- GENERAL CONDUCT
|
- FINE $1000
|
| KESSLER ASHER CLEARING LP | CBOT | 89-FIN-25 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| INSTITUTIONAL LIQUIDITY LLC | NFA | 13BCC00031 |
- GENERAL CONDUCT
|
|
| INSTITUTIONAL LIQUIDITY LLC | NFA | 12BCC00018 |
- FINANCIAL
- REGISTRATION
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $50000
|
| INSTITUTIONAL LIQUIDITY LLC | NFA | 08BCC00014 |
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED
- AFFIRMED ON APPEAL - APPEALS COMMITTEE
- ON APPEAL - NFA APPEALS COMMITTEE
- FINE $250000
|
| DIEGO MARIANO ROLANDO | CFTC | 3:08 CV 0064 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- FINE $10000000
|
| IAG CAPITAL MANAGEMENT LLC | NFA | 10MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| IAG CAPITAL MANAGEMENT LLC | CFTC | 12-12 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE DELINQUENT
- COMMISSION ORDER
- FINE $280000
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- CEASE AND DESIST ORDER
- JOINT OWED
|
| IAM INC | CFTC | 00-CIV-1317 |
- CFTC INJUNCTIVE ACTION
|
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
- FREEZE ASSETS
- RESTRAINING ORDER
- ACCESS BOOKS
- PRELIMINARY INJUNCTION
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
|
| INSTITUTIONAL ADVISORY SERVICES GROUP | NFA | 08BCC00030 |
- GENERAL CONDUCT
|
- FINE $12500
|
| IB BROKERAGE & IBB | CFTC | 93-2765 |
- CFTC INJUNCTIVE ACTION
|
|
| MIDWEST FUTURES INC | NFA | 11BCC00002 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $10000
|
| IBF CAPITAL LIMITED COMPANY | CFTC | CV 03-0833 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- RESTRAINING ORDER
- FREEZE ASSETS
|
| INTERBANK FX LLC | NFA | 13BCC00023 |
- GENERAL CONDUCT
|
- FINE $600000
|
| INTERBANK FX LLC | NFA | 09BCC00022 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $225000
|
| INTERBANK FX LLC | NFA | 07BCC00010 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $100000
|
| INTERBANK FX LLC | NFA | 06BCC00016 |
- FINANCIAL
|
- FINE $25000
|
| INTERBANK FX LLC | CFTC | 09-11 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $200000
- COMPLAINT FILED
|
| IBG FINANCIAL SERVICES LTD | NFA | 89MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| AUBREY G LANSTON & CO INC | CBOT | 97-RFT-109 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| AUBREY G LANSTON & CO INC | CBOT | 96-RRR-322 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| AUBREY G LANSTON & CO INC | CBOT | 92-RRR-205 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| AUBREY G LANSTON & CO INC | CBOT | 00-RFT-01 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| AUBREY G LANSTON & CO INC | CME | 0118472CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ATTAIN CAPITAL MANAGEMENT LLC | NFA | 07BCC00020 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $25000
|
| INTEGRATED BROKERAGE SERVICES LLC | NFA | 12BCC00026 |
- FINANCIAL
|
- FINE $25000
|
| IBS INC | CFTC | 3:00CV103-V |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- STOP SOLICITING
- FREEZE ASSETS
- ACCOUNT ORDER
- PROTECT BOOKS
|
| ICAP EUROPE LIMITED | CFTC | 13-38 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $65000000
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
|
| ICAP SERVICES NORTH AMERICA LLC | ICE | 2012-015 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ICE INVESTMENTS LLC | NFA | 08BCC00006 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- TEMPORARY BAR FROM PRINCIPAL STATUS 2 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS
- FINE (JOINTLY AND SEVERALLY) $10000
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 2 YRS
|
| ICELAND MANAGEMENT SERVICES INC | CFTC | 03-2659 TJH |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- FINE $240000
- JOINT OWED
- PROTECT BOOKS
|
| IDE INTERNATIONAL | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| INVESTORS FREEDOM CLUB LC | CFTC | 8:03-CV-54-T |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- FINE $
|
| IFX MARKETS INC | NFA | 08BCC00001 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $60000
|
| IG MARKETS INC | NFA | 06BCC00014 |
- FINANCIAL
|
- FINE $5000
|
| IOWA GRAIN CO | NFA | 99BCC00006 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $30000
|
| IOWA GRAIN CO | NFA | 02BCC00017 |
|
- FINE $20000
|
| IOWA GRAIN CO | CBOT | 97-MSI-06 |
- GENERAL CONDUCT
|
- FINE $2000
|
| IOWA GRAIN CO | CBOT | 95-RRR-270 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| IOWA GRAIN CO | CBOT | 94-RRR-304 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| IOWA GRAIN CO | CBOT | 91-RRR-299 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| IOWA GRAIN CO | CBOT | 89-RRR-216 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| IOWA GRAIN CO | CBOT | 87-EX -279 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| IOWA GRAIN CO | CBOT | 06-RFT-025 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| IOWA GRAIN CO | CBOT | 05-RFT-073 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| IOWA GRAIN CO | CBOT | 00-RFT-66 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| IOWA GRAIN CO | CME | 986199CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| IOWA GRAIN CO | CME | 0424305BC |
- CLEARING PROCEDURES
|
- FINE $1000
|
| IGLOBAL STRATEGIC MANAGEMENT LLC | CFTC | 12 CIV 6574 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $1794537
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- JOINT OWED
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| IKEN CAPITAL LLP | CEI | 13-9340-BC IKEN CAPITAL LLP |
- TRADE PRACTICE
|
- FINE PAID $90000
|
| IKOS PARTNERS | NFA | 05BCC00026 |
- GENERAL CONDUCT
|
- FINE $25000
|
| CYTRADE INC | NFA | 07BCC00014 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $8000
|
| ISAACS JOSEPH | NFA | 88REG00042 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| IMC TRADING INC(ARIZONA) | CFTC | 3:00CV103-V |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- STOP SOLICITING
- FREEZE ASSETS
- ACCOUNT ORDER
- PROTECT BOOKS
|
| IMC TRADING INC(NEVADA) | CFTC | 3:00CV103-V |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- STOP SOLICITING
- FREEZE ASSETS
- ACCOUNT ORDER
- PROTECT BOOKS
|
| IMC TRADING INC(NORTH CAROLINA) | CFTC | 3:00CV103-V |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- STOP SOLICITING
- FREEZE ASSETS
- ACCOUNT ORDER
- PROTECT BOOKS
|
| TRUSTY ASSOCIATES INC | NFA | 87BCC00017 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- OTHER--SEE NARRATIVE
- FINE $5000
|
| IMPERIAL OPTIONS LTD | CFTC | 77-7 |
- CFTC ADMINISTRATIVE ACTION
|
- CTA REGISTRATION DENIED
- FCM REGISTRATION DENIED
|
| IMPERIAL SUGAR CORP | CSCE | I93-13 |
- SPECULATIVE POSITION LIMIT
|
- FINE $500
|
| INTERNATIONAL IMS GROUP HOLDINGS INC | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- JOINT OWED
- FINE $240000
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| IMS HOLDINGS LLC | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- JOINT OWED
- FINE $240000
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| INCOBRASA INDUSTRIES LTD | CBOT | 2004-INS-01 |
- GENERAL CONDUCT
|
- FINE $30000
|
| INCOBRASA INDUSTRIES LTD | CBOT | 2003-MSI-37 |
- GENERAL CONDUCT
|
- FINE $75000
|
| INCOBRASA INDUSTRIES LTD | CBOT | 2002-MSI-25 |
- GENERAL CONDUCT
|
- FINE $25000
|
| INCOMCO INC | CFTC | 82-20 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
|
| INCOMCO INC | CFTC | 80-4399 |
- CFTC INJUNCTIVE ACTION
|
|
| INCOMCO INC | CFTC | 80-3103 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| INCOMCO INC | CFTC | 80-25 |
- CFTC ADMINISTRATIVE ACTION
|
- RESPONDENT APPEAL
- DIV. OF ENFORCEMENT APPEAL
|
| INCOME PLUS ASSET MANAGEMENT INC | NFA | 09BCC00037 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| INCREASE INVESTMENTS INC | CFTC | 3:11-CV-00032 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $6813462.51
- JOINT OWED
- PERMANENT INJUNCTION
- MAY NOT OPERATE AS PRINCIPAL
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
|
| NATIONAL FUTURES GROUP LTD | NFA | 89MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| NATIONAL FUTURES GROUP LTD | NFA | 88BCC00030 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- REPORT TO NFA
- OTHER--SEE NARRATIVE
- FINE $10000
|
| INDEX FUTURES GROUP INC | CFTC | 92-28 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $100000
- COMMISSION ORDER
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| INDEX FUTURES GROUP INC | CBOT | 94-RRR-309 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| INDEX FUTURES GROUP INC | CBOT | 93-RRR-220 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| INDEX FUTURES GROUP INC | CBOT | 93-RRR-108A |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| INDEX FUTURES GROUP INC | CBOT | 93-RRR-103 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| INDEX FUTURES GROUP INC | CBOT | 92-RRR-108 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| INDEX FUTURES GROUP INC | CBOT | 88-INV-36 |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| INDEX FUTURES GROUP INC | CSCE | I95-75 |
- OFFICE RECORDKEEPING
|
- FINE $2500
|
| INDEX FUTURES GROUP INC | NYCE | 95-054 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| INDEX FUTURES GROUP INC | NYCE | 92-045 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| GLOBAL INVESTMENT SERVICES INC | NFA | 92BCC00011 |
- FINANCIAL POSITION AND REPORTING
|
- CEASE AND DESIST
- REPORT TO NFA
- FINE $5000
|
| INDEX SERVICES INC | NFA | 85BCC00005 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| INDEX SERVICES INC | CFTC | 85-23 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| COMP TECH LTD, INC. | CFTC | 99-8750 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $110000
- TRADING PROHIBITION PERM
- PERMANENT INJUNCTION PERM
- MAY NOT APPLY TO REGISTER PERM
- STOP SOLICITING
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
- COMPLAINT FILED
- TRADING PROHIBITION PERM
- STOP SOLICITING
- PERMANENT INJUNCTION PERM
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER PERM
- FINE $110000
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- ACCESS BOOKS
- PROTECT BOOKS
- COMPLAINT FILED
|
| COMP TECH LTD, INC. | CFTC | 99-8750 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $110000
- TRADING PROHIBITION PERM
- PERMANENT INJUNCTION PERM
- MAY NOT APPLY TO REGISTER PERM
- STOP SOLICITING
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
- COMPLAINT FILED
- TRADING PROHIBITION PERM
- STOP SOLICITING
- PERMANENT INJUNCTION PERM
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER PERM
- FINE $110000
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- ACCESS BOOKS
- PROTECT BOOKS
- COMPLAINT FILED
|
| WEINBERG MARK ROSS | NFA | 86BCC00008 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| WEINBERG MARK ROSS | NFA | 85MRA00060 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| WEINBERG MARK ROSS | NFA | 85MRA00024 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| WEINBERG MARK ROSS | CFTC | 02-02084 |
- CFTC INJUNCTIVE ACTION
|
- ACCOUNT ORDER
- FINE $1264500
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| INDUS DERIVATIVES LTD | CBOT | 11-8447-BC |
- TRADE PRACTICE
|
- FINE PAID $150000
- FINE $150000
|
| INDUSTRIAL BANK OF JAPAN | CBOT | 95-FIN-63 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| INDUSTRIAL BANK OF JAPAN | CBOT | 94-FIN-69 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| INDUSTRIAL INVESTMENTS CORPORATION | NFA | 93BCC00004 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| INFINITE TRADING GROUP LLC | CFTC | 1:01-CV-1107 |
- CFTC INJUNCTIVE ACTION
|
- STOP SOLICITING
- PERMANENT INJUNCTION
- FINE $660000
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- ACCOUNT ORDER
- FREEZE ASSETS
|
| INFINITY COMMODITIES LLC | ICE | 2006-123 |
- TRADE PRACTICE
- FLOOR RECORDKEEPING
|
- CEASE AND DESIST
- RESTITUTION TO CUSTOMER(S) $5152
- FINE $10000
|
| INFINITY ONLINE INVESTORS GROUP | CFTC | 08-22027-CIV |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $910000
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- PROTECT BOOKS
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| INFINITY OPTIONS | ICE | 2012-019 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| INFINITY SERVICES USA INC | NFA | 11BCC00017 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP
- TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS
|
| INFINITY SERVICES USA INC | NFA | 10BCC00011 |
- FINANCIAL
|
- FINE $10000
|
| INFINITY TRADING CO INC | NFA | 96BCC00003 |
- FINANCIAL
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- OTHER--SEE NARRATIVE
|
| INFINITY TRADING CO INC | NFA | 94BCC00005 |
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
- OTHER--SEE NARRATIVE
- FINE $250000
|
| INFINITY TRADING LLC | NYBT | 2006-162 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| INFINITY TRADING LLC | NYBT | 2005-066 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| INFINIUM CAPITAL MANAGEMENT | CME | 09-06562-BC |
- TRADE PRACTICE
|
- CEASE AND DESIST
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $500000
- FINE PAID $500000
|
| INFINIUM CAPITAL MANAGEMENT | ICE | 2012-049 |
- TRADE PRACTICE
|
- FINE PAID $5000
- CEASE AND DESIST
|
| INFINIUM CAPITAL MANAGEMENT | NYME | 10-7565-BC INFINIUM CAPITAL MGMT |
- TRADE PRACTICE
|
- FINE PAID $350000
- CEASE AND DESIST
|
| INFOREX LTD | CFTC | 3-05 CV 0416M |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- TRADING PROHIBITION
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- FINE $37122312
|
| INFORMED FUNDS LLC | NFA | 12BCC00016 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $10000
|
| INH INTERHOLDING SA | CFTC | 1:07-CV-22396 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- FINE $3000000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| INNOVATIVE CAPITAL MANAGEMENT LLC | NFA | 08MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA TERMINATED
- SUSPENDED FROM MEMBERSHIP
- MEMBER RESPONSIBILITY ACTION
|
| INNOVATIVE CAPITAL MANAGEMENT LLC | CFTC | 09-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- FINE $100000
- TRADING PROHIBITION PERM
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- JOINT OWED
|
| INOVATRADE INC | CFTC | 4:11-CV-00092 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $240000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| INOVATRADE INC | CFTC | 12-23459 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- FINE $28830650.97
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| INSTATRADE CORPORATION | CFTC | 1:11-CV-00188 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $140000
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT OPERATE AS PRINCIPAL
|
| INSTITUTIONAL BROKERAGE CORPORTATION | CEI | 04/501/91 |
- GENERAL CONDUCT
|
- FINE $13000
- CEASE AND DESIST
|
| INSTITUTIONAL CAPITAL MANAGEMENT LLC | NFA | 10MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| INTEGRA CAPITAL MANAGEMENT LLC | CFTC | 10-CV-00737 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| HEITSCHMIDT ROGER W DBA HEITSCHMIDT FUT | CFTC | 92-25 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- IB REGISTRATION SUSPENDED 6 MTHS
- COMPLAINT FILED
- CTA REGISTRATION SUSPENDED 6 MTHS
- RESPONDENT APPEAL
|
| INTERNATIONAL CURRENCIES | CFTC | 96-7814 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- COMPLAINT FILED
- ACCESS BOOKS
- PROTECT BOOKS
|
| INTERNATIONAL CURRENCY EXCHANGE | CFTC | 05 CV 8446 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $550000
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- COMPLAINT FILED
|
| INTERNATIONAL CURRENCY EXCHANGE INC | CFTC | 79-03851 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- ACCESS BOOKS
|
| INTERNATIONAL INVESTMENT GROUP, LTD. | CFTC | 99-6560-CIV |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- PERMANENT INJUNCTION
- FINE $7785841
- STOP SOLICITING
- PROTECT BOOKS
- ACCOUNT ORDER
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- ACCESS BOOKS
- FREEZE ASSETS
|
| INTERNATIONAL INVESTMENTS HOLDINGS CORPORATION | CFTC | 06-60001 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $6060000
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- TRADING PROHIBITION
- DEFAULT ORDER
- STOP SOLICITING
|
| INTERNATIONAL INVESTMENTS HOLDINGS CORPORATION | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $1350000
- PERMANENT INJUNCTION
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
|
| UNITED INVESTORS GROUP | CFTC | SD 06-02 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- IB REGISTRATION REVOKED
- DEFAULT ORDER
- ALJ ORDER
|
| UNITED INVESTORS GROUP | CFTC | 05-80002 |
- CFTC INJUNCTIVE ACTION
|
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- FINE $17544503
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- PRELIMINARY INJUNCTION
|
| WACHOVIA SECURITIES INC | CFTC | 87-19 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $100000
- ALJ ORDER
- COMMISSION ORDER
- COMPLAINT FILED
|
| INVERS FOREX LLC | CFTC | 11-CV-22275 |
- CFTC INJUNCTIVE ACTION
|
- FINE $3920000
- JOINT OWED
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
|
| INVERTRUST INC | CFTC | 05-61903 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- DEFAULT ORDER
- DISGORGEMENT $1506634.86
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- STOP SOLICITING
- FINE $4767068.13
- MAKE RESTITUTION TO CUSTMERS
- PROTECT BOOKS
|
| MAHANNAH CLARK J | NFA | 85BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- ENHANCED PROCEDURES REQUIRED
- FINE $1000
|
| IOWA COMMODITIES LTD | NFA | 06BCC00028 |
- GENERAL CONDUCT
|
- FINE $10000
|
| NEXTSOURCE TRADING CORPORATION | NFA | 09BCC00060 |
- REGISTRATION
- GENERAL CONDUCT
|
- REQUIRED TO TAPE RECORD 6 MTHS
- FINE (JOINTLY AND SEVERALLY) $50000
|
| NEXTSOURCE TRADING CORPORATION | NFA | 08BCC00002 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- REQUIRED TO TAPE RECORD 6 MTHS
- FINE (JOINTLY AND SEVERALLY) $35000
|
| J & C COMMODITIES INC | ICE | 2009-067 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| J & C COMMODITIES INC | ICE | 2009-028 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| JAMES A SHEPHERD INC | NFA | 13MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| JAMES A SHEPHERD INC | CFTC | 13-CV-00370 |
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| J FINANCIAL GROUP INC | NFA | 09AWD00001 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| J HANSEN INVESTMENTS LLC | NFA | 12MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP INDF
|
| J HANSEN INVESTMENTS LLC | CFTC | 12-CV-02559 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- FINE $483983
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- COMPLAINT FILED
|
| DM MCKENZIE AND ASSOCIATES INC | NFA | 92BCC00002 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| J P M INDUSTRIES INC | CFTC | 87-3-SD |
- CFTC ADMINISTRATIVE ACTION
|
- CPO REGISTRATION REVOKED
|
| J P M TRADING CO INC | CFTC | 87-3-SD |
- CFTC ADMINISTRATIVE ACTION
|
- CTA REGISTRATION REVOKED
- IB REGISTRATION REVOKED
|
| JP MORGAN SECURITIES PLC | ICE | 2009-055 |
- TRADE PRACTICE
|
- FINE $150000
- CEASE AND DESIST
|
| JP MORGAN SECURITIES PLC | ICE | 2009-006 |
- TRADE PRACTICE
|
- FINE $300000
- CEASE AND DESIST
|
| JP MORGAN SECURITIES PLC | NYL | 2012-TP-108 |
- TRADE PRACTICE
|
- FINE PAID $10000
|
| J S LOVE & ASSOCIATES CONSULTANTS INC | CFTC | 76-928 |
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- PERMANENT INJUNCTION
|
| J S LOVE & ASSOCIATES OPTIONS LTD | CFTC | 76-928 |
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- PERMANENT INJUNCTION
|
| J&J DEVELOPMENT CORP | NFA | 92BCC00034 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| J&J SUGAR TRADERS INC | NYBT | 2005-107 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| J&K FUTURES INC | CFTC | 4:11-CV-00091 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- DEFAULT ORDER
- FINE $280000
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAY NOT OPERATE AS PRINCIPAL
|
| J. ARON & COMPANY | CEI | RSRH-13-1481 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| J. ARON & COMPANY | CSCE | I93-27 |
- OFFICE RECORDKEEPING
|
- FINE $5000
|
| J. ARON & COMPANY | NYME | RSRH-13-1480 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| J. ARON & COMPANY | NYME | RSRH-13-1419 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| J. TRADERS, INC. | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- PROTECT BOOKS
- TRADING PROHIBITION
- STOP SOLICITING
- RESTRAINING ORDER
- ACCESS BOOKS
|
| J.P.M INVESTMENTS, INC. | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- PROTECT BOOKS
- TRADING PROHIBITION
- STOP SOLICITING
- RESTRAINING ORDER
- ACCESS BOOKS
|
| CUTTING EDGE INC | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCESS BOOKS
- TRADING PROHIBITION
- RESTRAINING ORDER
- STOP SOLICITING
- PROTECT BOOKS
- FREEZE ASSETS
- ACCESS BOOKS
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- FREEZE ASSETS
- RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
|
| CUTTING EDGE INC | CFTC | 99 C 2357 |
- CFTC INJUNCTIVE ACTION
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCESS BOOKS
- TRADING PROHIBITION
- RESTRAINING ORDER
- STOP SOLICITING
- PROTECT BOOKS
- FREEZE ASSETS
- ACCESS BOOKS
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- FREEZE ASSETS
- RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
|
| J.R. SIMPLOT, CO. | CFTC | 77-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $50000
- JOINT OWED
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 72 MTHS
|
| SHANER TRADING PARTNERS INC | NFA | 96BCC00002 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| SHANER TRADING PARTNERS INC | NFA | 95MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- RESTRICTIONS ON ACTIVITIES
- GIVE NOTICE OF ACTION
|
| SHANER TRADING PARTNERS INC | CFTC | 4-96-C-70005 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| JACK CARL 312 FUTURES INC | NFA | 87BCC00035 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
|
| MARC M JACOBS | NFA | 13REG00029 |
- NFA REGISTRATION ACTION
|
- REGISTRATION CONDITIONED
|
| JADE INVESTMENTS GROUP LLC | CFTC | 3:11-CV-00128 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1302656
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
|
| JADE TRADER | CFTC | CV04-8213 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $50000
- JOINT OWED
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| JADEFX LTD | CFTC | 3:11-CV-00128 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1302656
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
|
| JONATHAN JOSEPH BERMAN | NFA | 07BCC00050 |
- SALES PRACTICE
|
- FINE $5000
- REQUIRED TO TAPE RECORD 6 MTHS
- TEMPORARY BAR FROM PRINCIPAL STATUS 1 YRS
- TEMPORARY BAR FROM NFA MEMBERSHIP 1 YRS
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 1 YRS
|
| JAGUAR TRADING | NFA | 07BCC00050 |
- SALES PRACTICE
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| JAMES TIMPSON AND ASSOCIATES INC | CFTC | 86-1342TCM |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| JANSEN FUTURES INC | NFA | 87MRA00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
|
| JANSEN FUTURES INC | NFA | 87BCC00030 |
- NFA GENERAL DISCIPLINARY ACTION
|
- EXPELLED FROM MEMBERSHIP
|
| JAPAN FOREX RESEARCH INC | NFA | 09BCC00027 |
- GENERAL CONDUCT
|
- FINE $10000
|
| JASON ROOFING AND WATERPROOFING INC | CFTC | 06-60001 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- DISGORGEMENT $529340
- DEFAULT ORDER
|
| CES INTER FINANCIAL INC | NFA | 87BCC00011 |
- NFA GENERAL DISCIPLINARY ACTION
|
- WITHDRAW FROM MEMBERSHIP 1 YRS
- OTHER--SEE NARRATIVE
|
| JB COX BROKERAGE CO | NFA | 87BCC00021 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $4500
- SUSPENDED FROM MEMBERSHIP
|
| JB DRAX HONORE LTD | ICE | 2012-082 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| JBA LIMITED INC | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- FINE $225000
- TRADING PROHIBITION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| MONETARY GROUP LTD THE | NFA | 84MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| MONETARY GROUP LTD THE | NFA | 84BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| JBS USA LLC | CME | 09-06448-MS-BC |
- TRADE PRACTICE
|
- FINE $100000
- FINE PAID $100000
|
| JBS USA LLC | NYME | 10-7432 - JBS USA LLC |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
- FINE PAID $5000
|
| JBW CAPITAL LLC | CFTC | 12-CV-11799 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| SUTHERLAND GROUP INC | CFTC | SD 08-03 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- DISMISSED
- CONDITIONALLY REGISTERED 5 YRS
|
| SUTHERLAND GROUP INC | CFTC | 1:04CV1403 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- FINE $98550
- DISGORGEMENT $32850
- OTHER (SEE NARRATIVE)
|
| JCC INC | NFA | 90BCC00030 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $250000
- EXPELLED FROM MEMBERSHIP
|
| JCC INC | NFA | 87BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- FINE $100000
|
| JCC INC | CFTC | 89-4 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $50000
- RESPONDENT APPEAL
- ALJ ORDER
- FCM REGISTRATION REVOKED
- COMMISSION ORDER
- COMPLAINT FILED
|
| JCC INC | CFTC | 83-43 |
- CFTC ADMINISTRATIVE ACTION
|
- RESPONDENT APPEAL
- FCM REGISTRATION REVOKED
- COMPLAINT FILED
|
| JDI LIMITED, INC. | CFTC | 95-6221 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $385000
- TRADING PROHIBITION
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- ACCOUNT ORDER
- COMPLAINT FILED
- FREEZE ASSETS
|
| JDM INVESTMENTS INC | NFA | 87BCC00019 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $4000
|
| JDM INVESTMENTS | CFTC | 1:03 CV 149 |
- CFTC INJUNCTIVE ACTION
|
- FINE $267093
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
|
| JEDBURGH GROUP THE | CFTC | 2:11-CV-10949 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $21568.15
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- COMPLAINT FILED
|
| JEFF SHALHOUB INVESTMENTS | CFTC | 10 2242 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $463500
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- COMPLAINT FILED
|
| JEFFERSON NATIONAL INVESTMENT CORP | CFTC | 79-1233 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| JEFFERY JEDLECKI INC | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- DISGORGEMENT $347586.76
|
| JEM COMMODITIES | NYBT | 2003-062 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| TORC INVESTMENTS & RESEARCH LLC | NFA | 09BCC00056 |
- FINANCIAL
|
- FINE $10000
|
| JGCF LLC | CFTC | 13-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
|
| JH RAYNER FUTURES LTD | CSCE | I91-20 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $15000
|
| JK BROKERS LTD | ICE | 2010-041 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| AUTRY CAPITAL MANAGEMENT LLC | CFTC | 10-CV-00084 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- FINE $1000
|
| JOHANN G KAEMINGK | CBOT | 2007-INV-12C |
- TRADE PRACTICE
|
- FINE $10000
|
| JOSEPH MCNEALY & ASSOCIATES | CBOT | 03-RFT-048 |
- FLOOR RECORDKEEPING
|
- FINE $375
|
| ANDRE JULIAN | NFA | 12BCC00008 |
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $75000
|
| SHATKIN ARBOR INC | CBOT | 2006-INV-32C |
- TRADE PRACTICE
|
- FINE $1000
|
| SHATKIN ARBOR INC | CBOT | 07-RFT-010 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| KRUCOR FUTURES CORP | NFA | 86MRA00025 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| K&L INVESTMENTS | CFTC | 09 CV 1749 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| KAIROS ASSET MANAGEMENT LLC | NFA | 11BCC00033 |
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP INDF
- FINE (CONTINGENT) $15000
|
| KANEMATSU-GOSHO (USA) | CBOT | 88-FIN-110 |
- REGISTRATION
|
- FINE $7000
|
| GILANO BENEDICT J JR | NFA | 89BCC00016 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $6500
|
| BENEDICT JOSEPH JR GILANO | NFA | 89BCC00016 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- RESTRICTIONS ON ACTIVITIES
- FINE $6500
|
| KANSAS CITY BOARD OF TRADE | CFTC | 85-6 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $60000
|
| KANSAS COMMODITY TRADERS INC | CFTC | 80-21 |
- CFTC ADMINISTRATIVE ACTION
|
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| KARET INTERNATIONAL | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- ACCOUNT ORDER
- PROTECT BOOKS
- RECEIVERSHIP
- FREEZE ASSETS
|
| KARYA CAPITAL MANAGEMENT LP | CME | 13-9284-BC; 13-9383-BC |
- TRADE PRACTICE
|
- FINE PAID $40000
- DISGORGEMENT PAID $166325
- FINE $40000
- DISGORGEMENT $166325
|
| KASTLE & HAWKE INC | CFTC | 11-CV-60674 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- FREEZE ASSETS
|
| TRADER SERVICES CO | NFA | 98BCC00021 |
- SALES PRACTICE
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| ARNEKAY INC | NFA | 97BCC00005 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| SIMMONS ROBERT ALAN | NFA | 96MRA00003 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| SIMMONS ROBERT ALAN | NFA | 96BCC00007 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| KEITH DOMINICK INVESTOR GROUP | CFTC | 94-661-18 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- COMPLAINT FILED
- PROTECT BOOKS
|
| BLUE RIDGE FUTURES | NFA | 10BCC00035 |
- GENERAL CONDUCT
|
- FINE $10000
|
| KELLY SEAN GLENN | CFTC | 97-6 |
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $10000
- CTA REGISTRATION SUSPENDED
|
| WILLIAM PATRICK KELLY | NFA | 10MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| WILLIAM PATRICK KELLY | CFTC | 12-12 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE DELINQUENT
- COMMISSION ORDER
- FINE $280000
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- CEASE AND DESIST ORDER
- JOINT OWED
|
| WILLIAM RUBIN KELMAN | NFA | 11REG00022 |
- NFA REGISTRATION ACTION
|
- AFFIRMED ON APPEAL - CFTC
- REGISTRATION DENIED
|
| KEMPER FINANCIAL SERVICES INC | CFTC | 94-1 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $300000
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
|
| KEN ROBERTS COMPANY THE | CFTC | 95-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
|
| ARTHUR MATTHEW KENAH | CME | 0701805CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ARTHUR MATTHEW KENAH | CME | 0701001CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| ARTHUR MATTHEW KENAH | CME | 0525535CTRB |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| ARTHUR MATTHEW KENAH | CME | 0322190CTRB |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ARTHUR MATTHEW KENAH | CME | 0322053CTRB |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| KENOSHA | CBOT | 90-RRR-214 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| KENOSHA | CBOT | 89-RRR-220 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| KENOSHA TRADING COMPANY | CBOT | 01-MSI-026 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| KENSINGTON FINANCIAL CORPORATION | NFA | 95REG00027 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| GEORGE KERR | NFA | 09BCC00013 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $7500
|
| KESPERRY INC | NFA | 91BCC00019 |
- FINANCIAL
- REGISTRATION
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 3 YRS
|
| KESPERRY INC | NFA | 90MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| KGW CAPITAL MANAGEMENT LLC | CFTC | 13-CV-00382 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| KLITIN OSCAR ALEXANDER | NFA | 98BCC00010 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| KLITIN OSCAR ALEXANDER | NFA | 97MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- SUSPENDED FROM MEMBERSHIP
|
| KLITIN OSCAR ALEXANDER | CFTC | 97-CV-4973 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
|
| KRAFT, INC. | CBOT | 89-FIN-90 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 91-FIN-108 |
- FINANCIAL
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- LETTER REPRIMAND
- OTHER ACTION
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 91-EX -16 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $50000
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 90-INV-05 |
- GENERAL CONDUCT
- TRADE PRACTICE
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
- FINE $25000
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 90-EX -199 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 89-RRR-334 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 88-FIN-50 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| KRAJEWSKI HENNING LAWRENCE & COMPANY | CBOT | 87-EX -34 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| TERM COMMODITIES INC | CBOT | 97-MSR-21A |
- GENERAL CONDUCT
|
- FINE $500
|
| TERM COMMODITIES INC | CBOT | 96-MSI-01G |
- TRADE PRACTICE
|
- FINE $10000
|
| TERM COMMODITIES INC | CBOT | 89-RRR-276 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| TERM COMMODITIES INC | CBOT | 89-EX -46 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| TERM COMMODITIES INC | CBOT | 09-03984-BC |
- TRADE PRACTICE
|
- FINE $35000
- FINE PAID $35000
|
| TERM COMMODITIES INC | CBOT | 0800091 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| TERM COMMODITIES INC | CBOT | 06-RFT-039 |
- FLOOR RECORDKEEPING
|
- FINE $600
|
| TERM COMMODITIES INC | NYME | 93-23 |
- FINANCIAL
|
- FINE $25000
|
| L G Z MANAGEMENT INC | CFTC | 85-6936 |
- CFTC INJUNCTIVE ACTION
|
- FREEZE ASSETS
- RESTRAINING ORDER
- ACCESS BOOKS
- PROTECT BOOKS
|
| L R ASSOCIATES INC | CFTC | 79-3558 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| L.A. FOREX, INC. | CFTC | 97-6800 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- RETURN FUNDS
- FREEZE ASSETS
- TEMPORARY RESTRAINING ORDER
- ACCESS BOOKS
- STOP SOLICITING
- ACCOUNT ORDER
- PROTECT BOOKS
|
| ENERGY TRANSFER COMPANY | CFTC | 3-07CV1301-K |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- JOINT OWED
- FINE $10000000
|
| LACHMAN COMPANY THE | NFA | 88BCC00012 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $30000
- CEASE AND DESIST
|
| MONASTA JOHN M | NFA | 90BCC00003 |
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
|
| LAGUNA CAPITAL MANAGEMENT LLC | NFA | 04BCC00019 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 1 YRS
|
| QIX INC | CFTC | 04-21346 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
- FINE $2000000
|
| LAKE DOW CAPITAL LLC | NFA | 06BCC00003 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| LAKE DOW CAPITAL LLC | NFA | 05MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- MEMBER RESPONSIBILITY ACTION
|
| LAKE DOW CAPITAL LLC | CFTC | 1 05-CV 2709 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- FINE $1879156
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT I LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT II LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT III LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET ACCOUNT LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND II LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND III LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND IV US LLC | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET FUND LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- ACCOUNT ORDER
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND I | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND LIMITED CLASS II | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| LAKE SHORE ALTERNATIVE FINANCIAL ASSET YEN FUND LIMITED CLASS III | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- PERMANENT INJUNCTION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- COMPLAINT FILED
|
| LAKE SHORE ASSET MANAGEMENT LIMITED | NFA | 09BCC00004 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| LAKE SHORE ASSET MANAGEMENT LIMITED | NFA | 07MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
- PETITION FOR STAY DENIED
- PETITION FOR STAY FILED
- MEMBER RESPONSIBILITY ACTION
|
| LAKE SHORE ASSET MANAGEMENT LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- FINE $33900000
- MAKE RESTITUTION TO CUSTMERS
- PROTECT BOOKS
- JOINT OWED
- OTHER (SEE NARRATIVE)
- ACCESS BOOKS
- TRADING PROHIBITION
- STOP SOLICITING
- FREEZE ASSETS
|
| LAKE SHORE GROUP OF COMPANIES INC LIMITED | CFTC | 1:07-CV-03598 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- DEFAULT ORDER
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| LAKE STATES COMMODITIES | CFTC | 94-4375 |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
|
| LAKEN GLENN BRADLEY | CFTC | SD 00-05 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FB REGISTRATION SUSPENDED
|
| CSA INC | CFTC | 84-1 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| LUCI WYATT MATTINEN | NFA | 08REG00025 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| LALLY COMMODITIES | CFTC | 85-40 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $500
|
| LANG & REIMANN | CBOT | 89-RRR-224 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| LANTIC SUGAR LTD. | CSCE | I93-31 |
- TRADE PRACTICE
|
- FINE $5000
|
| GARY THOMAS LARK | CME | 0323002CTRB |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEW ERA FUTURES | NFA | 10BCC00041 |
- FINANCIAL
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| NEW ERA FUTURES | NFA | 09BCC00046 |
- GENERAL CONDUCT
- FINANCIAL
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $10000
|
| LASALLE INTERNATIONAL CLEARING CORPORATION | CFTC | 09-80765 |
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| UNITED CAPITAL CORPORATION | NFA | 89REG00009 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| LAST ATLANTIS CAPITAL MANAGEMENT LLC | NFA | 08MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
- MEMBER RESPONSIBILITY ACTION
|
| LAST ATLANTIS CAPITAL MANAGEMENT LLC | NFA | 08BCC00028 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| GFI SECURITIES LLC | ICE | 2012-035 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| GFI SECURITIES LLC | ICE | 2011-009 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- RESTITUTION TO CUSTOMER(S) $25000
- FINE $45000
|
| LAWRENCE BONFITTO TRADING COMPANY | CFTC | 08 C 0192 |
- CFTC INJUNCTIVE ACTION
|
- DISMISSED
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 99-RFT-219 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 99-RFT-136 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 98-RFT-197 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 98-RFT-098 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 97-RFT-198 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 97-RFT-103 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 96-RRR-372 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 95-RRR-381 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 95-MSI-12 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 03-RFT-041 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 03-EX-31 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 01-RFT-115 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 01-RFT-051 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LAWRENCE BONFITTO TRADING COMPANY | CBOT | 00-RFT-072 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| LAWRENCE COLLINS & WEXLER INC | CFTC | 80-01109 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- PERMANENT INJUNCTION
|
| LAWRENCE EMIL | NFA | 96AWD00012 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| LAWTON FINANCIAL GROUP SERVICES | NFA | 01BCC00010 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- FINE (JOINTLY AND SEVERALLY) $5000
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
- NFA DECISION VACATED
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| LDS COMMODITIES, INC. | CSCE | I92-25 |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| LDS COMMODITIES, INC. | CSCE | I91-41 |
- TRADE PRACTICE
|
- FINE $5000
|
| LE VASSEUR POTATO CO INC | CFTC | 79-36 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 36 MTHS
|
| LEADER TRADING GROUP | NFA | 00BCC00002 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| LEAF DAHL AND COMPANY LTD | CFTC | 83-2 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 12 MTHS
|
| LEAGUE CORPORATION THE | CBOT | 95-RRI-33 |
- SPECULATIVE POSITION LIMIT
|
- FINE $1000
|
| LED SIMEX TRADER PTE LTD | CME | 0526213BC |
- TRADE PRACTICE
|
- DENIED ELECTRONIC TRADING ACCESS 3 MTHS
- SUSPENDED FROM MEMBERSHIP 3 MTHS
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE $50000
|
| JUHN E LEE | NFA | 07BCC00013 |
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- FINE $15000
|
| MICHAEL JAMES LEVAS | NFA | 12REG00002 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| LIBANMAN FUTURES INC | NFA | 12BCC00006 |
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $10000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 99-RFT-220 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| LIND WALDOCK & COMPANY LLC | CBOT | 98-RFT-99 |
- FLOOR RECORDKEEPING
|
|
| LIND WALDOCK & COMPANY LLC | CBOT | 97-RRI-34 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 97-RRI-30 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 97-RRI-019 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 97-RFT-199 |
- FLOOR RECORDKEEPING
|
- FINE $10000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 97-RFT-104 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LIND WALDOCK & COMPANY LLC | CBOT | 96-RRR-400 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 96-RRR-309 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LIND WALDOCK & COMPANY LLC | CBOT | 95-RRR-394 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LIND WALDOCK & COMPANY LLC | CBOT | 92-INV-18 |
- FINANCIAL POSITION AND REPORTING
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $7500
|
| LIND WALDOCK & COMPANY LLC | CBOT | 91-MSI-41 |
- GENERAL CONDUCT
|
- FINE $5000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 90-MSI-18 |
- GENERAL CONDUCT
|
- FINE $2000
|
| LIND WALDOCK & COMPANY LLC | CBOT | 87-RRR-190 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| LIND WALDOCK & COMPANY LLC | CBOT | 87-FIN-190 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| LIND WALDOCK & COMPANY LLC | CBOT | 2000-MSI-2A |
- GENERAL CONDUCT
|
- FINE $2500
|
| LIND WALDOCK & COMPANY LLC | CBOT | 01-RFT-052 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| LIND WALDOCK & COMPANY LLC | CME | 986315CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| LIND WALDOCK & COMPANY LLC | CME | 985571CTRT |
- FLOOR RECORDKEEPING
|
- FINE $3500
|
| LIND WALDOCK & COMPANY LLC | CME | 975270CTRT |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LIND WALDOCK & COMPANY LLC | CME | 975092CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LIND WALDOCK & COMPANY LLC | CME | 975082CTRA |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| LIND WALDOCK & COMPANY LLC | CME | 974608CTR |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| LIND WALDOCK & COMPANY LLC | CME | 88CRCC2025 |
- TRADE PRACTICE
|
- RESTITUTION TO CUSTOMER(S) $0
- FINE $25000
|
| LIND WALDOCK & COMPANY LLC | NYCE | 92-D23 |
- DECORUM AND ATTIRE
|
- FINE $100
|
| LIND WALDOCK & COMPANY LLC | NYCE | 92-052 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| LIND WALDOCK & COMPANY LLC | NYFE | OT-8 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $15
|
| LFG LLC | CFTC | 01-19 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| DANIEL B LIPTON | CFTC | 02-14 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $7500
- OTHER (SEE NARRATIVE)
- CONDITIONALLY REGISTERED 2 YRS
|
| DANIEL B LIPTON | CACE | 98-052 |
- TRADE PRACTICE
|
- FINE $4000
- CEASE AND DESIST
|
| DANIEL B LIPTON | CSCE | I97-106 |
- FLOOR RECORDKEEPING
|
- FINE $300
|
| DANIEL B LIPTON | CSCE | I96-59 |
- FLOOR RECORDKEEPING
|
- FINE $200
|
| DANIEL B LIPTON | CSCE | I96-42 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| DANIEL B LIPTON | CSCE | I96-109 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| DANIEL B LIPTON | CSCE | I96-101 |
- FLOOR RECORDKEEPING
|
- FINE $200
|
| DANIEL B LIPTON | CSCE | I95-44 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| DANIEL B LIPTON | CSCE | I94-81 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| DANIEL B LIPTON | CSCE | I94-34(I) |
- GENERAL CONDUCT
|
- FINE $100
|
| DANIEL B LIPTON | CSCE | I91-8 |
- GENERAL CONDUCT
|
- FINE $310
|
| DANIEL B LIPTON | CSCE | I91-4 |
- GENERAL CONDUCT
|
- FINE $260
|
| DANIEL B LIPTON | CSCE | I91-1 |
- GENERAL CONDUCT
|
- FINE $120
|
| DANIEL B LIPTON | CSCE | 1999-55 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $700
|
| DANIEL B LIPTON | NYBT | 2006-177 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| LIQUID CAPITAL MANAGEMENT LLC | CFTC | SD 12-05 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
|
| LIQUID CAPITAL MANAGEMENT LLC | CFTC | 11 CIV 1013 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- ACCOUNT ORDER
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- FINE $9387483
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- ACCESS BOOKS
- JOINT OWED
|
| LONDON METAL EXCHANGE | CFTC | 92-443E(M) |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- DISGORGEMENT $541857
- TEMPORARY RESTRAINING ORDER
- PROTECT BOOKS
- ACCESS BOOKS
- RECEIVERSHIP
- RETURN FUNDS
|
| LONDON METALS MARKET LLC | CFTC | 13-31 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- JOINT OWED
- COMMISSION ORDER
|
| LONGHORN FINANCIAL ADVISORS | CFTC | 1:04CV00911 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- JOINT OWED
- TRADING PROHIBITION
- FINE $480000
- STOP SOLICITING
|
| LUDWIG HAROLD L | CFTC | 04-19 |
- CFTC ADMINISTRATIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- AP REGISTRATION REVOKED
- FINE $2000000
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- CTA REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- COMPLAINT FILED
|
| CRESCENT FUTURES GROUP | NFA | 99BCC00019 |
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- FINE $6500
|
| M PAULIN CONSULTING INC | NFA | 87BCC00012 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- SUSPENDED FROM MEMBERSHIP 90 DAYS
|
| M. G. REFINING ANDMARKETING INC | NYME | APP. 94-2 |
- SPECULATIVE POSITION LIMIT
|
- FINE $10000
|
| M25 INVESTMENTS INC | NFA | 09MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| M25 INVESTMENTS INC | CFTC | SD 11-01 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- CTA REGISTRATION REVOKED
- ALJ DECISION
- COMPLAINT FILED
|
| M25 INVESTMENTS INC | CFTC | 3-09-CV-1831 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $7100000
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| M37 INVESTMENTS LLC | NFA | 09MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| M37 INVESTMENTS LLC | CFTC | SD 11-01 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- CTA REGISTRATION REVOKED
- ALJ DECISION
- COMPLAINT FILED
|
| M37 INVESTMENTS LLC | CFTC | 3-09-CV-1831 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $7100000
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| MACGREGOR FINANCIAL SERVICES INC | CFTC | 84-28 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $10000
- TRADING PRIVILEGES SUSPENDED 60 MTHS
- JOINT OWED
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| MACKENZIE WALLACE & CO LIMITED | NFA | 13BCC00002 |
- GENERAL CONDUCT
|
- FINE $10000
|
| MACQUARIE BANK LIMITED | ICE | 2010-023 |
- TRADE PRACTICE
|
- FINE $75000
- CEASE AND DESIST
|
| MACQUARIE FUTURES USA LLC | CFTC | 13-30 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| MACQUARIE FUTURES USA LLC | CBOT | RSRH-13-9616 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | CBOT | 13-9215 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | CBOT | 13-7698 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MACQUARIE FUTURES USA LLC | CBOT | 13-7695-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| MACQUARIE FUTURES USA LLC | CBOT | 1206621CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MACQUARIE FUTURES USA LLC | CBOT | 1106312CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | CBOT | 10-05049-MS-BC |
- TRADE PRACTICE
|
- FINE $10000
- FINE PAID $10000
|
| MACQUARIE FUTURES USA LLC | CEI | RSRH-13-9618 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | CEI | RSRH-12-1134 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MACQUARIE FUTURES USA LLC | CEI | 13-9214 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | CME | 13-9274 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| MACQUARIE FUTURES USA LLC | CME | 13-7698 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| MACQUARIE FUTURES USA LLC | CME | 13-7694-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| MACQUARIE FUTURES USA LLC | CME | 1208790CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| MACQUARIE FUTURES USA LLC | CME | 1108426CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | ICE | 2012-088 |
- TRADE PRACTICE
|
- FINE PAID $15000
|
| MACQUARIE FUTURES USA LLC | ICE | 2012-065 |
- OFFICE RECORDKEEPING
|
- FINE PAID $5000
|
| MACQUARIE FUTURES USA LLC | ICE | 2011-053 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| MACQUARIE FUTURES USA LLC | ICE | 2009-013 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| MACQUARIE FUTURES USA LLC | NYME | RSRH-13-9617 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| MACQUARIE FUTURES USA LLC | NYME | RSRH-12-1133 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MACQUARIE INC | CBOT | 09-04190-MS-BC AND 11-8467-MS-BC |
- TRADE PRACTICE
|
- FINE $35000
- FINE PAID $35000
|
| MACQUARIE INC | NYME | 10-08 MACQUARIE INC. |
- SPECULATIVE POSITION LIMIT
|
- DISGORGEMENT PAID $259470
- FINE PAID $30000
- CEASE AND DESIST
|
| MACRO INTERNATIONAL GROUP INC | CFTC | 85-41 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
|
| MAD FINANCIAL INC | CFTC | 02-60239 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- FINE $229615.51
- SUPPLEMENTAL COURT ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
|
| ANTHONY WILLIAM MADIA | CBOT | 97-RIT-010B |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| MADISON DEAN INC | CFTC | 12-CV-02235 |
- CFTC INJUNCTIVE ACTION
|
- FINE $1000000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
|
| MADISON DEANE & ASSOCIATES INC. | CFTC | 03 CV 9128 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $11201004.86
- TRADING PROHIBITION
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- FINE $240000
|
| MADISON DEANE ASIA CORPORATION | CFTC | 03 CV 9128 |
- CFTC INJUNCTIVE ACTION
|
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $11201004.86
- TRADING PROHIBITION
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- FINE $240000
|
| MADISON FINANCIAL GROUP LLC | CFTC | 01-09 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- IB REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- COMMISSION ORDER
|
| MADISON FOREX INTERNATIONAL LLC | CFTC | 05-61672 |
- CFTC INJUNCTIVE ACTION
|
- FINE $2100000
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| MADISON TYLER ENERGY AND COMMODITIES LLC | NYME | 10-7431 MADISON TYLER ENERGY LLC |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
- CEASE AND DESIST
- FINE PAID $5000
|
| MADUFF AND SONS INC | NFA | 84BCC00012 |
- GENERAL CONDUCT
|
- CEASE AND DESIST
|
| MADY FUNDING COMPANY LLC | CFTC | 02-72394 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- RESTRAINING ORDER
- COMPLAINT FILED
- PRELIMINARY INJUNCTION
|
| MADY FUTURES INC | CFTC | 02-72394 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- RESTRAINING ORDER
- COMPLAINT FILED
- PRELIMINARY INJUNCTION
|
| MAGMA FUND ADVISORS LTD | NFA | 08BCC00032 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| MAGNUM CAPITAL INVESTMENTS LTD | CFTC | 04CV1512 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- FINE $11378735
- OTHER (SEE NARRATIVE)
|
| MAGNUM INVESTMENTS LTD | CFTC | 04CV1512 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- FINE $11378735
- OTHER (SEE NARRATIVE)
|
| MAIN STREET INVESTMENT GROUP INC. | CFTC | 94-661-18 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- COMPLAINT FILED
- PROTECT BOOKS
|
| MAIZE & BLUE GROUP INC | NFA | 86BCC00018 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1500
- CEASE AND DESIST
|
| MAIZE ASSET MANAGEMENT LLC | CFTC | 1:09-CV-05443 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| MAIZE CAPITAL MANAGEMENT LLC | CFTC | 1:09-CV-05443 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| MAJESTIC COMMODITY CORPORATION | NFA | 07BCC00044 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| MAJESTIC ENTERPRISES COLLISION REPAIR INC | CFTC | 10-CV-02287 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $302277.35
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- COMPLAINT FILED
|
| MAK 1 ENTERPRISES GROUP LLC | CFTC | 09 CV 1783 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| FIRST AMERICAN DISCOUNT CORPORATION | NFA | 95BCC00004 |
- FINANCIAL
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- OFFICE RECORDKEEPING
- REGISTRATION
- GENERAL CONDUCT
|
- FINE $10000
|
| FIRST AMERICAN DISCOUNT CORPORATION | CBOT | 97-RFT-197 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| FIRST AMERICAN DISCOUNT CORPORATION | CBOT | 96-RRR-390 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| FIRST AMERICAN DISCOUNT CORPORATION | CBOT | 96-RRR-290 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| FIRST AMERICAN DISCOUNT CORPORATION | CBOT | 95-LTA-403 |
- OFFICE RECORDKEEPING
|
- FINE $3000
|
| INTERCAP INTERNATIONAL INC | CFTC | 98-2908 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- STOP SOLICITING
- PROTECT BOOKS
|
| MICHAEL WILLIAM MALOTT | NFA | 01BCC00014 |
- SALES PRACTICE
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 30 DAYS
- FINE $3000
|
| MAN INVESTMENTS LIMITED | CME | 11-8609-BC |
- SPECULATIVE POSITION LIMIT
|
- FINE-SUMMARY $25000
- DISGORGEMENT $35050
- DISGORGEMENT PAID $35050
- FINE PAID $25000
|
| MAN INVESTMENTS LIMITED | NYME | 10-07516-BC - MAN INVESTMENTS LTD. |
- SPECULATIVE POSITION LIMIT
|
- FINE PAID $70000
|
| MANAGED ACCOUNTS ASSET MANAGEMENT LLC | NFA | 05REG00001 |
- NFA REGISTRATION ACTION
|
- AFFIRMED ON APPEAL - FEDERAL COURT
- ON APPEAL - FEDERAL COURT
- AFFIRMED ON APPEAL - CFTC
- ON APPEAL - CFTC
- REGISTRATION DENIED
|
| MANAGED ACCOUNTS ASSET MANAGEMENT LLC | CFTC | CV10-5567 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| MANAGED ACCOUNTS ASSET MANAGEMENT LLC | CFTC | CV 10-5567 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| MANAGED ALTERNATIVE INVESTMENTS LLC | NFA | 10BCC00007 |
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $75000
|
| MANNHEIM FUTURES GROUP INC | NFA | 85MRA00016 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| MANNING JOHN ROSS | NFA | 91BCC00005 |
- FINANCIAL
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- RESTRICTIONS ON ACTIVITIES
- TEMPORARY BAR FROM NFA MEMBERSHIP
|
| MANSUR CAPITAL CORPORATION | NFA | 07BCC00039 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $12500
|
| MANSUR CAPITAL CORPORATION | CFTC | 08-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $75000
- COMPLAINT FILED
|
| MANTICORE RESOURCES | CFTC | 93-C1022E |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- TRADING PROHIBITION
- ACCESS BOOKS
- STOP SOLICITING
- RECEIVERSHIP
- PROTECT BOOKS
|
| CHASE FUTURES & OPTIONS INC | CBOT | 97-RFT-011 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| CHASE FUTURES & OPTIONS INC | CBOT | 96-MSI-06 |
- GENERAL CONDUCT
|
- FINE $10000
|
| CHASE FUTURES & OPTIONS INC | CBOT | 94-MSI-04 |
- SPECULATIVE POSITION LIMIT
|
- FINE $250
|
| CHASE FUTURES & OPTIONS INC | CBOT | 93-RRR-111D |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CHASE FUTURES & OPTIONS INC | CBOT | 93-RRR-108C |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CHASE FUTURES & OPTIONS INC | CBOT | 93-FIN-27 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| CHASE FUTURES & OPTIONS INC | CBOT | 93-EX-20 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $4000
|
| CHASE FUTURES & OPTIONS INC | CBOT | 92-RRR-351 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| CHASE FUTURES & OPTIONS INC | CBOT | 92-RRR-108 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CHASE FUTURES & OPTIONS INC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| CHASE FUTURES & OPTIONS INC | CBOT | 89-EX -40 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| PROVEST INC | NFA | 88MRA00013 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- RESTRICTIONS ON ACTIVITIES
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| PROVEST INC | NFA | 88BCC00011 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
- SUSPENDED FROM MEMBERSHIP 1 YRS
|
| MASTER CAPITAL GROUP CORPORATION | NFA | 06REG00003 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| MASTER CAPITAL GROUP CORPORATION | NFA | 06BCC00031 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA INDF
- FINE (JOINTLY AND SEVERALLY) $100000
|
| MATRIX TRADING GROUP INC | CFTC | 00-8880 |
- CFTC INJUNCTIVE ACTION
|
- TEMPORARY RESTRAINING ORDER
- OTHER (SEE NARRATIVE)
|
| SCHAFFNER GERALD | NFA | 93BCC00024 |
- SALES PRACTICE
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| MB TRADING FUTURES INC | CFTC | 13-23 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $200000
- COMMISSION ORDER
|
| MBZ CORP | NFA | 83BCC00008 |
- OFFICE RECORDKEEPING
|
- CEASE AND DESIST
|
| MCDONALD SEAN TERRENCE | NFA | 05REG00005 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| SEAN TERRENCE MCDONALD | NFA | 05REG00005 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| MCDONNELL INC | CME | 974986CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUSPENDED AMOUNT $1000
- FINE $1000
|
| MERCAFE INC | CSCE | A91-03C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $7500
|
| MERCAFE INC | CSCE | A89-46C |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| MERCURY FUTURES | NYBT | 2005-065 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| MERCURY FUTURES | NYBT | 2004-059 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| MERCURY MANAGEMENT LC | CFTC | 05-60328 |
- CFTC INJUNCTIVE ACTION
|
- FINE $120000
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
|
| MERCURY PARTNERS INC | CFTC | 05-60328 |
- CFTC INJUNCTIVE ACTION
|
- ACCOUNT ORDER
- DEFAULT ORDER
- FINE $1080000
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| METROPOLITAN TRADING INC | NFA | 88BCC00030 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP 18 MTHS
|
| MIDAS SECURITIES LLC | NFA | 08BCC00012 |
- FINANCIAL
|
- FINE $10000
|
| MILLER & COMPANY G H | CFTC | 84-41 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $40000
|
| CHARLES MITCHELL | NFA | 09BCC00038 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $20000
- TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 7 YRS
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 7 YRS
- TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 7 YRS
|
| TRIPLE M ASSET MANAGEMENT | NFA | 93BCC00005 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $10000
|
| MARKOWITZ EDWARD A | NFA | 84MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| MARKOWITZ EDWARD A | NFA | 84BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| MONEX INTERNATIONAL LTD | CFTC | 84-50 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $125000
|
| MONEX SECURITIES INC | NFA | 99MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP
- MEMBER RESPONSIBILITY ACTION
- MRA TERMINATED
|
| MORGAN STANLEY | CME | 0525458CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| MORGAN STANLEY SMITH BARNEY LLC | CFTC | 13-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $200000
- COMMISSION ORDER
|
| RUBEL ROBERT J | CFTC | 98-15 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $15000
- TRADING PRIVILEGES SUSPENDED 5 YRS
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- CTA REGISTRATION REVOKED
- AP REGISTRATION REVOKED
- OTHER (SEE NARRATIVE)
|
| NACHWALTER FINANCIAL DEVELOPMENT CORP. | CFTC | 93-71445 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- RECEIVERSHIP
- FREEZE ASSETS
- ACCESS BOOKS
- STOP SOLICITING
- EX PARTE RESTRAINING ORDER
|
| NADIA CAPITAL CORP | CFTC | 3:09CV00016 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $886323.29
- DISGORGEMENT $3768792
|
| NADIA CAPITAL OPERATING PARTNERS LP | CFTC | 3:09CV00016 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $3768792
- JOINT OWED
- FINE $886323.29
- OTHER (SEE NARRATIVE)
|
| NAGY ROBERT ANDREW | NFA | 95REG00021 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| NAJIB ASSAF INC | CFTC | 85-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $10000
|
| NAKANO CAPITAL ADVISORS LLC | CFTC | 6:09-CV-508 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- ACCOUNT ORDER
- COMPLAINT FILED
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
|
| NAKANO CAPITAL MANAGEMENT LLC | CFTC | 6:09-CV-508 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- ACCOUNT ORDER
- COMPLAINT FILED
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
|
| NAKANO CAPITAL PARTNERS LP | CFTC | 6:09-CV-508 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- ACCOUNT ORDER
- COMPLAINT FILED
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- ACCESS BOOKS
- EX PARTE RESTRAINING ORDER
|
| CASTLE COMMODITIES CORPORATION | NFA | 96BCC00012 |
- SALES PRACTICE
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| NAPLES FUTURES INC | NFA | 02BCC00009 |
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS
|
| NASCO TANG CORP | CFTC | 3:09CV00016 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $3768792
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $886323.29
|
| GF FINANCIAL MARKETS UK LIMITED | ICE | 2009-064 |
- TRADE PRACTICE
|
- FINE $15000
- CEASE AND DESIST
|
| NATIONAL BULLION AND COIN INC | CFTC | 00-6885 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- PROTECT BOOKS
- ACCOUNT ORDER
- FREEZE ASSETS
- JOINT OWED
- NOT ACT FCM,IB,FB,CTA,CPO,AP
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| NATIONAL CENTURY FINANCIAL CORP | CFTC | 84-4181MRP |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| NATIONAL CENTURY FINANCIAL CORP | CFTC | 83-48 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $20000
- TRADING PRIVILEGES SUSPENDED 90 MTHS
- CTA REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- CPO REGISTRATION REVOKED
- MAY NOT APPLY TO REGISTER 10 YRS
|
| NATIONAL COAL EXCHANGE INC | CFTC | 81-2250-W |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- FREEZE ASSETS
|
| NATIONAL COMMODITIES CORPORATION INC | NFA | 97MRA00003 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
|
| NATIONAL COMMODITIES CORPORATION INC | NFA | 03BCC00007 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $75000
|
| NATIONAL COMMODITIES CORPORATION INC | NFA | 02BCC00005 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $50000
|
| NATIONAL COMMODITIES CORPORATION INC | CFTC | 1 05-CV 2492 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
|
| NATIONAL COMMODITIES CORPORATION INC | CFTC | 05 CV 5741 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
|
| NATIONAL COMMODITIES CORPORATION INC | CFTC | 04-80862 |
- CFTC INJUNCTIVE ACTION
|
- JOINT OWED
- OTHER (SEE NARRATIVE)
- FINE $100000
- MAKE RESTITUTION TO CUSTMERS
|
| NATIONAL COMMODITY EXCHANGE OF N AMERICA | CFTC | 80-36 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| NATIONAL EQUITY HOLDINGS INC | CFTC | SACV11-1718 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- FINE $2800000
- STOP SOLICITING
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
|
| NATIONAL INVESTMENT CONSULTANTS INC | CFTC | C 05 2641 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $1200000
- JOINT OWED
- TRADING PROHIBITION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
- FINE $100000
- PERMANENT INJUNCTION
|
| NATIONAL MONETARY CORPORATION | CFTC | 85-72570 |
- CFTC INJUNCTIVE ACTION
|
- RECEIVERSHIP
- PERMANENT INJUNCTION
|
| NATIONAL MONETARY FUND INC | CFTC | 85-17 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- MAY NOT APPLY TO REGISTER
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| NATIONAL MONETARY FUND INC | CFTC | 82-2062 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
|
| NATIONAL TRADING GROUP INC | CFTC | 88-05840HLH |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| NATIONS INVESTMENTS LLC | NFA | 07MRA00010 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| NATIONS INVESTMENTS LLC | CFTC | 07-61058 |
- CFTC INJUNCTIVE ACTION
|
- FINE $500000
- JOINT OWED
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| NATIONSBANC CRT SERVICES INC | CBOT | 91-RRR-104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| NATIONSBANC CRT SERVICES INC | CBOT | 91-B -08 |
- GENERAL CONDUCT
|
- FINE $2500
|
| NATIONSBANC CRT SERVICES INC | CBOT | 90-RRR-329 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| NATIONSBANC CRT SERVICES INC | CBOT | 89-RRR-316 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| NATIONWIDE FUTURES CORPORATION | NFA | 87BCC00013 |
- NFA GENERAL DISCIPLINARY ACTION
|
- EXPELLED FROM MEMBERSHIP
|
| NATRA HUDSON MANAGEMENT CO INC | NFA | 85MRA00012 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
|
| NATRA HUDSON MANAGEMENT CO INC | NFA | 85BCC00023 |
- NFA GENERAL DISCIPLINARY ACTION
|
- SUSPENDED FROM MEMBERSHIP 6 MTHS
|
| NATURAL HEALTH MATTERS LLC | CFTC | 2:11-CV-14063 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- PERMANENT INJUNCTION
- JOINT OWED
- DISGORGEMENT $21388
|
| STEPHEN CHARLES COX | CFTC | 03-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $25000
- OTHER (SEE NARRATIVE)
- CTA REGISTRATION SUSPENDED 3 MTHS
|
| NATWEST FUTURES INC | CBOT | 95-MSI-01 |
- GENERAL CONDUCT
|
- FINE $250
|
| NATWEST FUTURES INC | CBOT | 93-RRR-111G |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NATWEST FUTURES INC | CBOT | 90-RRR-234 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| NATWEST FUTURES INC | CBOT | 89-RRR-339 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PACIFIC RESEARCH TRADING | NFA | 89BCC00028 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA
- FINE $1000
|
| PIONEER COMMODITY MANAGEMENT CORP | NFA | 87BCC00020 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $1000
- GIVE NOTICE OF ACTION
- OTHER--SEE NARRATIVE
|
| NCMFX INC | NFA | 11BCC00038 |
- GENERAL CONDUCT
|
- FINE $12500
|
| NIEDERHOFFER INVESTMENTS INC | NFA | 99BCC00003 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| NIEDERHOFFER INVESTMENTS INC | NFA | 96BCC00016 |
- FINANCIAL POSITION AND REPORTING
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED
- FINE $5000
|
| NIEDERHOFFER INVESTMENTS INC | NFA | 95BCC00014 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2000
|
| NIEDERHOFFER INVESTMENTS INC | CBOT | 90-FIN-97 |
- FINANCIAL POSITION AND REPORTING
- REGISTRATION
- GENERAL CONDUCT
|
- FINE $10000
|
| NIEDERHOFFER INVESTMENTS INC | CBOT | 90-EX -08 |
- FINANCIAL POSITION AND REPORTING
- REGISTRATION
- GENERAL CONDUCT
|
- FINE $10000
|
| NIEDERHOFFER INVESTMENTS INC | CBOT | 89-RRR-242 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| NIEDERHOFFER INVESTMENTS INC | CBOT | 88-FIN-129 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| NORMAN DAVID SEABERG | NFA | 97BCC00002 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- FINE $10000
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- OTHER--SEE NARRATIVE
|
| NDT FUND LLC | CFTC | CIV 02-61307 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- SUPPLEMENTAL COURT ORDER
- FINE $10609133.33
|
| NEIMANN LLOYDS INC | NFA | 85BCC00008 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- EXPELLED FROM MEMBERSHIP
|
| NEIMANN LLOYDS INC | NFA | 84MRA00021 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| NELSON GHUN AND ASSOCIATES INCORPORATED | CFTC | 81-13 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| NELSON TRADING GROUP LLC | NFA | 12REG00012 |
- NFA REGISTRATION ACTION
|
- REGISTRATION CONDITIONED
|
| NEMITOFF COMMODITIES CORP | NFA | 87MRA00004 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| NEMITOFF COMMODITIES CORP | NFA | 87BCC00031 |
- NFA GENERAL DISCIPLINARY ACTION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| NEMITOFF COMMODITIES CORP | NFA | 85BCC00027 |
- NFA GENERAL DISCIPLINARY ACTION
|
- CEASE AND DESIST
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- FINE $30000
|
| NETBLACK CAPITAL LLC | NFA | 09BCC00024 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (CONTINGENT) $15000
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
- TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS
|
| NEUBERGER SECURITIES CORP. | CFTC | 78-0317 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| CASTLE ENTERPRISE CORPORATION | CFTC | C 06 2540 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- DISGORGEMENT $814858.89
- FINE $480000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| NEW CASTLE INTERNATIONAL COMMODITIES INC | NFA | 95BCC00002 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| NEW CENTURY INVESTMENT MANAGEMENT LLC | CFTC | 2:11-CV-02367 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| NEW FOREST CAPITAL MANAGEMENT INC | NFA | 95BCC00012 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- EXPELLED FROM MEMBERSHIP
|
| NEW FOREST CAPITAL MANAGEMENT INC | CFTC | 96-C-0076 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- ACCESS BOOKS
- DISGORGEMENT $100000
- FREEZE ASSETS
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
|
| NEW GOLDEN INVESTMENT GROUP LLC | CFTC | CV10 3834 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $558000
- DEFAULT ORDER
- FINE $1674000
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| HIGHBRIDGE CAPITAL MANAGEMENT LLC | CME | 11-08693-BC |
- TRADE PRACTICE
|
- FINE PAID $10000
- DISGORGEMENT PAID $27280
- DISGORGEMENT $27280
- FINE $10000
|
| NEW JAPAN SECURITIES INTERNATIONAL INC | CBOT | 89-FIN-135 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| NEW JERSEY PRECIOUS METALS TRADING CORP | CFTC | 79-3371 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| NEW MILLENIUM PROMOTIONS | CFTC | 99-7 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- CEASE AND DESIST ORDER
|
| NEW RIVER CAPITAL INC | NFA | 13REG00006 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| NEW WORLD HOLDINGS LLC | NFA | 07BCC00009 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- FINE $30000
|
| NEW WORLD HOLDINGS LLC | CFTC | 10-CV-04557 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| NEW WORLD TRADING LLC | CFTC | SD 07-03 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- IB REGISTRATION REVOKED
- ALJ DECISION
|
| NEW WORLD TRADING LLC | CFTC | 04-80562 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- FINE $1000000
- TRADING PROHIBITION
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- ACCESS BOOKS
- COMPLAINT FILED
|
| NEW YORK & FOREIGN SECURITIES CORPORATIO | CFTC | 85-43 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $2500
|
| NEW YORK CAPITAL ASSETS INC | CFTC | 03 CV 9128 |
- CFTC INJUNCTIVE ACTION
|
- DISGORGEMENT $226522
- FINE $240000
- JOINT OWED
- TRADING PROHIBITION
- PROTECT BOOKS
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| NEW YORK CAPITAL ENTERPRISES LLC | NFA | 05BCC00002 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| NEW YORK CURRENCY EXCHANGE CORPORATION | CFTC | 98 CIV 5588 |
- CFTC INJUNCTIVE ACTION
|
- FINE $8104458
- PERMANENT INJUNCTION
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| NEW YORK CURRENCY RESEARCH CORPORATION | CFTC | 98-3 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISMISSED DAYS
- COMMISSION ORDER
|
| NEW YORK CURRENCY RESEARCH CORPORATION | CFTC | 98 CIV 5588 |
- CFTC INJUNCTIVE ACTION
|
- FINE $8104458
- PERMANENT INJUNCTION
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| ROBERT J SUCARATO | CFTC | 08-1932 (JBS) |
- CFTC INJUNCTIVE ACTION
|
- FINE $1200000
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- PROTECT BOOKS
- TRADING PROHIBITION
- DEFAULT ORDER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
|
| NEW YORK FOREX EX CENTER CORP | NFA | 95MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- OTHER--SEE NARRATIVE
- SUSPENDED FROM MEMBERSHIP
|
| NEW YORK FOREX EX CENTER CORP | CFTC | 97-5 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| NEW YORK FUTURES EXCHANGE | CFTC | 01-13 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $75000
- COMPLAINT FILED
|
| NEW YORK FUTURES TRADERS INC | CFTC | 86-0770 |
- CFTC INJUNCTIVE ACTION
|
- MUST LIQUIDATE POSITIONS
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| NEW YORK MERCANTILE EXCHANGE | CFTC | 81-23 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $200000
|
| NEW YORK MERCANTILE EXCHANGE | CFTC | 77-14 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $50000
|
| NEW YORK MERCANTILE EXCHANGE | CFTC | 13 CIV 1174 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| NEW YORK OPTIONS EXCHANGE | CFTC | 07 CV 2376 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- DEFAULT ORDER
- FINE $260000
- TRADING PROHIBITION
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- STOP SOLICITING
- JOINT OWED
|
| NEW YORK PETROLEUM OPTION EXCHANGE | CFTC | 07 CV 2379 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- FINE $260000
- JOINT OWED
- DEFAULT ORDER
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- MAKE RESTITUTION TO CUSTMERS
|
| NEWBRIDGE ALLIANCE INC | CFTC | 12-CV-81311 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- FREEZE ASSETS
- ACCESS BOOKS
- PRELIMINARY INJUNCTION
- PROTECT BOOKS
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
|
| NEWBRIDGE METALS LLC | CFTC | 13-37 |
- CFTC ADMINISTRATIVE ACTION
|
- STOP SOLICITING
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $1517930.66
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT OPERATE AS PRINCIPAL
|
| NEWEDGE GROUP PARIS BRANCH | CME | 10-07268-BC |
- TRADE PRACTICE
|
- FINE PAID $125000
- FINE $125000
|
| NEWEDGE GROUP | CFTC | 04-26 |
- CFTC ADMINISTRATIVE ACTION
|
- COMPLAINT FILED
- FINE $25000
- CEASE AND DESIST ORDER
|
| NEWEDGE GROUP | ICE | 2008-037 |
- TRADE PRACTICE
|
- FINE $40000
|
| NEWEDGE USA LLC | CFTC | 12-06 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $700000
- COMMISSION ORDER
|
| NEWEDGE USA LLC | CFTC | 11-07 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $140000
- DISGORGEMENT $80910
|
| NEWEDGE USA LLC | CBOT | CBOT-06ETI44BC CALYON FINANCIAL INC. |
- TRADE PRACTICE
|
- FINE $10000
- FINE PAID $10000
|
| NEWEDGE USA LLC | CBOT | 99-RRI-46 |
- CLEARING PROCEDURES
|
- FINE $5000
|
| NEWEDGE USA LLC | CBOT | 98-RFT-176 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CBOT | 98-INV-12B |
- TRADE PRACTICE
|
- FINE $5000
|
| NEWEDGE USA LLC | CBOT | 97-RFT-80 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| NEWEDGE USA LLC | CBOT | 97-RFT-176 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| NEWEDGE USA LLC | CBOT | 97-RFT-080 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| NEWEDGE USA LLC | CBOT | 97-MSR-04 |
- GENERAL CONDUCT
|
- FINE $500
|
| NEWEDGE USA LLC | CBOT | 97-MSI-05 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| NEWEDGE USA LLC | CBOT | 97-INV-20A |
- TRADE PRACTICE
|
- FINE $10000
|
| NEWEDGE USA LLC | CBOT | 96-RRR-263 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| NEWEDGE USA LLC | CBOT | 95-RRR-369 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| NEWEDGE USA LLC | CBOT | 95-RRR-267 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| NEWEDGE USA LLC | CBOT | 94-RRR-104F |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| NEWEDGE USA LLC | CBOT | 93-RRR-111A |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| NEWEDGE USA LLC | CBOT | 91-RRR-432 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CBOT | 2002-INV-33B |
- GENERAL CONDUCT
|
- RESTITUTION TO CUSTOMER(S) $858652
- FINE $500000
|
| NEWEDGE USA LLC | CBOT | 11-08067-BC |
- TRADE PRACTICE
|
- FINE-SUMMARY $25000
- FINE PAID $25000
|
| NEWEDGE USA LLC | CBOT | 0903907CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CBOT | 09-04448-MS-BC |
- TRADE PRACTICE
|
- FINE $50000
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE PAID $50000
|
| NEWEDGE USA LLC | CBOT | 0802810CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| NEWEDGE USA LLC | CBOT | 07-RFT-025 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CBOT | 06-ETI-19-BC |
- TRADE PRACTICE
|
- FINE $30000
- FINE PAID $30000
|
| NEWEDGE USA LLC | CBOT | 04-RFT-086 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CBOT | 04-RFT-037 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| NEWEDGE USA LLC | CBOT | 02-RFT-098 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| NEWEDGE USA LLC | CBOT | 02-RFT-047 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CBOT | 01-RFT-106 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| NEWEDGE USA LLC | CBOT | 01-MSI-27 |
- GENERAL CONDUCT
|
- FINE $125000
|
| NEWEDGE USA LLC | CBOT | 00RFT58;204 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| NEWEDGE USA LLC | CBOT | 00-MSI-01 |
- CLEARING PROCEDURES
|
- FINE $30000
|
| NEWEDGE USA LLC | CEI | RSRH-13-1653 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CME | RSRH-13-1650 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CME | 953433FP |
- FLOOR RECORDKEEPING
|
- FINE $10000
|
| NEWEDGE USA LLC | CME | 953279CTR |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| NEWEDGE USA LLC | CME | 921370FP |
- FLOOR RECORDKEEPING
|
- FINE $10000
|
| NEWEDGE USA LLC | CME | 13-9371 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CME | 13-9276 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| NEWEDGE USA LLC | CME | 1108071CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| NEWEDGE USA LLC | CME | 1007333CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| NEWEDGE USA LLC | CME | 1006815CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| NEWEDGE USA LLC | CME | 0906090CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| NEWEDGE USA LLC | CME | 09-06448-BC |
- SPECULATIVE POSITION LIMIT
|
- FINE $80000
- FINE PAID $80000
|
| NEWEDGE USA LLC | CME | 0803899CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| NEWEDGE USA LLC | CME | 0700390CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| NEWEDGE USA LLC | CME | 0700389CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| NEWEDGE USA LLC | CME | 0700388CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CME | 0700380CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| NEWEDGE USA LLC | CME | 0626529CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | CME | 0525156CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| NEWEDGE USA LLC | CME | 0219971CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| NEWEDGE USA LLC | CME | 0118556 |
- TRADE PRACTICE
|
- FINE $20000
|
| NEWEDGE USA LLC | CSCE | I97-16 |
- OFFICE RECORDKEEPING
|
- FINE $5000
- CEASE AND DESIST
|
| NEWEDGE USA LLC | ICE | 2012-072 |
- OFFICE RECORDKEEPING
|
- FINE PAID $1000
|
| NEWEDGE USA LLC | ICE | 2012-052 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| NEWEDGE USA LLC | ICE | 2012-035 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| NEWEDGE USA LLC | ICE | 2012-002 |
- TRADE PRACTICE
|
- FINE PAID $20000
|
| NEWEDGE USA LLC | ICE | 2010-067 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| NEWEDGE USA LLC | ICE | 2010-051 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| NEWEDGE USA LLC | ICE | 2010-044 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $100000
|
| NEWEDGE USA LLC | ICE | 2009-019 |
- TRADE PRACTICE
|
- FINE $60000
|
| NEWEDGE USA LLC | ICE | 2009-012 |
- CLEARING PROCEDURES
|
- FINE $30000
- CEASE AND DESIST
|
| NEWEDGE USA LLC | ICE | 2008-037 |
- TRADE PRACTICE
|
- FINE $60000
|
| NEWEDGE USA LLC | MGE | 13-I-12 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $50000
|
| NEWEDGE USA LLC | MGE | 09-I-03 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| NEWEDGE USA LLC | NYME | RSRH-13-1652 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| NEWEDGE USA LLC | NYME | 13-9534-BC NEWEDGE USA LLC |
- TRADE PRACTICE
|
- FINE PAID $20000
|
| NEWEDGE USA LLC | NYME | 10-07964-BC - NEWEDGE USA LLC |
- TRADE PRACTICE
|
- FINE PAID $30000
|
| TIMOTHY PATRICK ERBER | NFA | 04BCC00019 |
- GENERAL CONDUCT
|
- REQUIRED TO TAPE RECORD 18 MTHS
- FINE $8500
|
| ROBERT W MCMULLEN | NFA | 89BCC00026 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
- FINE $5000
|
| NICO HOLDINGS LLC | IOTC | 11-00120 |
- SPECULATIVE POSITION LIMIT
|
- DISGORGEMENT PAID $620
- FINE PAID $20000
- CEASE AND DESIST
|
| NOBLE AMERICAS CORP | CFTC | 10-12 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $130000
- COMPLAINT FILED
|
| NOBLE AMERICAS CORP | ICE | 2010-046 |
- TRADE PRACTICE
|
- FINE $15000
- CEASE AND DESIST
|
| NORSHIELD SECURITIES LTD | NFA | 03BCC00037 |
- FINANCIAL
|
- FINE $2000
|
| NORSOTA CAPITAL GROUP LLC | NFA | 03REG00011 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| NORTH STAR FINANCIAL GROUP LTD | CFTC | 90-9 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- IB REGISTRATION REVOKED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| NORTH STAR FINANCIAL GROUP LTD | CFTC | 89-5363 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
|
| NORTHERN TRUST INVESTMENTS INC | ICE | 2011-003 |
- TRADE PRACTICE
|
- FINE $75000
- CEASE AND DESIST
|
| OAKMONT INTERNATIONAL LLC | CFTC | 05-61588 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- JOINT OWED
- FINE $240000
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| OAKWOOD ASSET MANAGEMENT INC | CFTC | SD-95-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CPO REGISTRATION REVOKED
- COMMISSION ORDER
- CTA REGISTRATION REVOKED
|
| OAKWOOD DEVELOPMENT COMPANY LP | CFTC | 4:11-CV-00311 |
- CFTC INJUNCTIVE ACTION
|
- FINE $250000
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- COMPLAINT FILED
- MAY NOT OPERATE AS PRINCIPAL
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $
|
| OBRIEN R J & ASSOC INC | CBOT | 96-RRR-295 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| OCALINE INTERNATIONAL CORPORATION | CFTC | 03 CV 7112 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| OCM ONLINE CAPITAL MARKETS LIMITED | CFTC | 11-CV-06210 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| OCONNOR | CBOT | 90-RRR-277 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| OCONNOR | CBOT | 89-RRR-244 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| OCONNOR | CBOT | 89-EX -38 |
- OFFICE RECORDKEEPING
|
- FINE $2000
|
| OCONNOR FUTURES INC | CFTC | 88-6 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $44000
|
| ODONNELL GRAIN INC | CBOT | 91-RRR-258 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ODONNELL GRAIN INC | CBOT | 90-FIN-81 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| OPEN E CRY LLC | NFA | 11BCC00007 |
- GENERAL CONDUCT
|
- FINE $50000
- ENHANCED PROCEDURES REQUIRED
|
| OPEN E CRY LLC | CFTC | 12-24 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $250000
- COMMISSION ORDER
|
| OFFSHORE FINANCIAL CONSULTANTS OF FLORIDA INC | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| OFFSHORE FINANCIAL CONSULTANTS OF GEORGIA INC | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| OHERRON ASSET MANAGEMENT | CFTC | 1:00 CV 913 |
- CFTC INJUNCTIVE ACTION
|
- FREEZE ASSETS
- PROTECT BOOKS
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
|
| OHERRON JOHN F | NFA | 00MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA TERMINATED
- RESTRICTIONS ON ACTIVITIES INDF
- SUSPENDED FROM MEMBERSHIP INDF
- GIVE NOTICE OF ACTION
- MEMBER RESPONSIBILITY ACTION
|
| OHERRON JOHN F | NFA | 00BCC00009 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| OHERRON JOHN F | CFTC | SD03-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CTA REGISTRATION REVOKED
- OTHER (SEE NARRATIVE)
- AP REGISTRATION REVOKED
|
| OHERRON JOHN F | CFTC | 1:00 CV 913 |
- CFTC INJUNCTIVE ACTION
|
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- PROTECT BOOKS
|
| OIL BROKERAGE LIMITED | NYME | RSRH-13-1264 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| OPPORTUNITIES IN OPTIONS | NFA | 10BCC00019 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS
- FINE (JOINTLY AND SEVERALLY) $50000
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
|
| OKASAN INTERNATIONAL AMERICA INC | CBOT | 93-FIN-62 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| OKASAN INTERNATIONAL AMERICA INC | CBOT | 91-FIN-90 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $2500
|
| OLAM AMERICAS INC | ICE | 2011-056 |
- TRADE PRACTICE
|
- FINE PAID $100000
|
| OLAM INTERNATIONAL LIMITED | CFTC | 04-13 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $20000
- MAY NOT APPLY TO REGISTER
- COMPLAINT FILED
|
| OLAM INTERNATIONAL LIMITED | ICE | 2008-047 |
- TRADE PRACTICE
|
- FINE $15000
|
| STAR COMMODITIES LTD | NFA | 96AWD00013 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| STAR COMMODITIES LTD | NFA | 96AWD00006 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| STAR COMMODITIES LTD | NFA | 95BCC00016 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| OLMA DON DBA PACIFIC TRADING CO | CFTC | 75-1 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES SUSPENDED 1 MTHS
- FCM REGISTRATION SUSPENDED
- CEASE AND DESIST ORDER
|
| OLYMPUS FUTURES INC | NFA | 11BCC00041 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $100000
|
| ONE WORLD CAPITAL GROUP | NFA | 08BCC00024 |
- FINANCIAL
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| ONE WORLD CAPITAL GROUP | NFA | 07MRA00012 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| ONE WORLD CAPITAL GROUP | NFA | 07BCC00017 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $100000
|
| ONE WORLD CAPITAL GROUP | CFTC | SD 10-01 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- COMPLAINT FILED
- OTHER (SEE NARRATIVE)
- FCM REGISTRATION REVOKED
- CTA REGISTRATION REVOKED
|
| ONE WORLD CAPITAL GROUP | CFTC | 07C 7002 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $260000
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PRELIMINARY INJUNCTION
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
- ACCOUNT ORDER
|
| ONEOK ENERGY MARKETING AND TRADING COMPANY LP | CFTC | 04-09 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $3000000
- COMPLAINT FILED
- MAY NOT APPLY TO REGISTER
- COMMISSION ORDER
|
| ONEOK INC | CFTC | 04-09 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $3000000
- COMPLAINT FILED
- MAY NOT APPLY TO REGISTER
- COMMISSION ORDER
|
| TRADESTATION SECURITIES INC | CBOT | 2005-INV-26 |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| OPEC AMERICAN PETROLEUM | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- ACCOUNT ORDER
- RECEIVERSHIP
- ACCESS BOOKS
|
| OPEX INTERNATIONAL | NFA | 85MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| OPEX INTERNATIONAL | NFA | 85BCC00016 |
- NFA GENERAL DISCIPLINARY ACTION
|
- WITHDRAW FROM MEMBERSHIP
- FINE $5000
|
| OPEX INTERNATIONAL | NFA | 84MRA00019 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
|
| INVESTCORE PARTNERS | NFA | 12BCC00008 |
- GENERAL CONDUCT
|
- FINE $75000
- OTHER--SEE NARRATIVE
|
| OPTIONABLE INC | CFTC | 08 CIV 9962 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- JOINT OWED
- FINE $200000
|
| OPTIONEER INC | CFTC | 06-03 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $130000
- JOINT OWED
- COMPLAINT FILED
|
| PHOTOX INTERNATIONAL INC | NFA | 92BCC00021 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- ENHANCED PROCEDURES REQUIRED
- FINE $15000
|
| ORION INTERNATIONAL INC | CFTC | CV 03 603 |
- CFTC INJUNCTIVE ACTION
|
- STOP SOLICITING
- PERMANENT INJUNCTION
- PROTECT BOOKS
- ACCESS BOOKS
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- DEFAULT ORDER
- FINE $86469100
- OTHER (SEE NARRATIVE)
- ACCOUNT ORDER
- RESTRAINING ORDER
- FREEZE ASSETS
|
| P I E INC | CFTC | 86-4792WDK |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| P&M PRICE DATA INC | CFTC | 90-00038 |
- CFTC INJUNCTIVE ACTION
|
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| CHARLES PACHECO | NFA | 02BCC00014 |
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED 12 MTHS
- REQUIRED TO TAPE RECORD
- FINE $2500
|
| PACIFIC BEST GROUP LTD | CFTC | C 05 2641 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $1200000
- MAKE RESTITUTION TO CUSTMERS
- STOP SOLICITING
- TRADING PROHIBITION
- JOINT OWED
- FINE $100000
- PERMANENT INJUNCTION
|
| PACIFIC BULLION INC., ET AL. | CFTC | 92-259 |
- CFTC INJUNCTIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| PACIFIC CAPITAL MARKETS | NFA | 04BCC00008 |
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| PACIFIC COMMODITIES EXCHANGE INC | CFTC | 76-17 |
- CFTC ADMINISTRATIVE ACTION
|
|
| PACIFIC FUTURES INC | NFA | 88MRA00014 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
|
| PACIFIC FUTURES INC | NFA | 86BCC00017 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
- CEASE AND DESIST
|
| PACIFIC GOLD COINS INC | CFTC | 84-6717 |
- CFTC INJUNCTIVE ACTION
|
- RESTRAINING ORDER
- FREEZE ASSETS
|
| MIDLAND EURO INC | NFA | 01MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- APPEAL DISMISSED
- ON APPEAL - CFTC
- OTHER--SEE NARRATIVE
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| MIDLAND EURO INC | NFA | 01BCC00018 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS
- FINE (JOINTLY AND SEVERALLY) $150000
- AFFIRMED ON APPEAL - APPEALS COMMITTEE
- ON APPEAL - NFA APPEALS COMMITTEE
- PENALTY STAYED - ON APPEAL
|
| MIDLAND EURO INC | CFTC | SD 02-01 |
- CFTC ADMINISTRATIVE ACTION
|
|
| PACIFIC WOOTEN INVESTMENTS | NFA | 91BCC00028 |
- FINANCIAL POSITION AND REPORTING
- REGISTRATION
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
- FINE $6000
|
| PACKERS TRADING CO INC | NFA | 94BCC00015 |
- FINANCIAL
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
- OFFICE RECORDKEEPING
|
- ENHANCED PROCEDURES REQUIRED
- FINE $17500
|
| PACKERS TRADING CO INC | CME | MS8930 |
- TRADE PRACTICE
|
- FINE $2500
|
| PACKERS TRADING CO INC | CME | 92CH9211 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PACKERS TRADING CO INC | CME | 92CH9202 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $7500
|
| PACKERS TRADING CO INC | CME | 91CH9101 |
- SPECULATIVE POSITION LIMIT
|
- FINE $15000
|
| PACNET FUTURES CORP | NFA | 87BCC00006 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $10000
- CEASE AND DESIST
|
| UBS FINANCIAL SERVICES INC | NFA | 91BCC00015 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $25000
|
| UBS FINANCIAL SERVICES INC | NFA | 86BCC00002 |
- GENERAL CONDUCT
|
- FINE $15000
|
| UBS FINANCIAL SERVICES INC | CFTC | 93-3 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $150000
- COMPLAINT FILED
- CEASE AND DESIST ORDER
|
| UBS FINANCIAL SERVICES INC | CFTC | 88-32 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $250000
|
| UBS FINANCIAL SERVICES INC | CFTC | 86-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $22500
|
| UBS FINANCIAL SERVICES INC | CBOT | 96-RRR-401 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| UBS FINANCIAL SERVICES INC | CBOT | 96-RRR-310 |
- FLOOR RECORDKEEPING
|
|
| UBS FINANCIAL SERVICES INC | CBOT | 95-RRR-427 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| UBS FINANCIAL SERVICES INC | CBOT | 95-RRR-397 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| UBS FINANCIAL SERVICES INC | CBOT | 94-EX-01 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $15000
|
| UBS FINANCIAL SERVICES INC | CBOT | 91-INV-24 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $15000
|
| UBS FINANCIAL SERVICES INC | CBOT | 90-EX -04 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| UBS FINANCIAL SERVICES INC | CBOT | 89-RRR-248 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| UBS FINANCIAL SERVICES INC | CBOT | 89-FIN-29 |
- REGISTRATION
|
- FINE $1000
|
| UBS FINANCIAL SERVICES INC | CBOT | 88-MSI-11 |
- GENERAL CONDUCT
|
- FINE $25000
|
| UBS FINANCIAL SERVICES INC | CBOT | 88-EX -02 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| UBS FINANCIAL SERVICES INC | CBOT | 2001-EX-01 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| UBS FINANCIAL SERVICES INC | CME | 93CH9302 |
- SPECULATIVE POSITION LIMIT
|
- FINE $5000
|
| UBS FINANCIAL SERVICES INC | CME | 91379BC |
- FLOOR RECORDKEEPING
|
- FINE $35000
|
| UBS FINANCIAL SERVICES INC | CME | 91335FP |
- TRADE PRACTICE
|
- FINE $7500
|
| UBS FINANCIAL SERVICES INC | CME | 90FPC3010 |
- TRADE PRACTICE
|
- FINE $1000
|
| PERRY HOFFMAN | NFA | 10BCC00038 |
- SALES PRACTICE
|
- TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP
- TEMPORARY NFA MEMBERSHIP RESTRICTIONS
- TEMPORARY BAR FROM PRINCIPAL STATUS
- TEMPORARY BAR FROM NFA MEMBERSHIP
|
| PAKCO HOLDINGS LIMITED | CFTC | CV 01-6926 |
- CFTC INJUNCTIVE ACTION
|
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| PALERMO FINANCIAL SYNDICATE | CFTC | 85-9 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $50000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES REVOKED
|
| REIFLER TRADING CORP | NFA | 92BCC00012 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE $20000
- ENHANCED PROCEDURES REQUIRED
- SUBMIT PROMOTIONAL MATERIAL TO NFA
|
| REIFLER TRADING CORP | CFTC | 98-2 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $59033
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- JOINT OWED
- OTHER (SEE NARRATIVE)
|
| PALMETTO STATE COMMODITIES INC | CFTC | 2:08-3297 |
- CFTC INJUNCTIVE ACTION
|
- FINE $2400000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DISGORGEMENT $31547.62
- PERMANENT INJUNCTION
|
| PALOMINO CAPITAL MANAGEMENT | CFTC | SD 05-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CPO REGISTRATION REVOKED
- COMMISSION ORDER
|
| PEREGRINE ASSET MANAGEMENT INC | NFA | 12MRA00007 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| PAN AMERICAN METALS OF MIAMI BEACH INC | CFTC | 13-27 |
- CFTC ADMINISTRATIVE ACTION
|
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- STOP SOLICITING
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- FINE $1500000
|
| PAN AMERICAN METALS OF MIAMI LLC | CFTC | 13-27 |
- CFTC ADMINISTRATIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT OPERATE AS PRINCIPAL
- COMMISSION ORDER
- JOINT OWED
- CEASE AND DESIST ORDER
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- FINE $1500000
- STOP SOLICITING
|
| PAN EASTERN PETROLEUM EXCHANGE | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- ACCOUNT ORDER
- RECEIVERSHIP
- ACCESS BOOKS
|
| PANAMCO PETROLEUM ENTERPRISES | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- RECEIVERSHIP
- PROTECT BOOKS
|
| PANTHER ENERGY TRADING LLC | CFTC | 13-26 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- COMPLAINT FILED
- TRADING PROHIBITION 1 YRS
- FINE $1400000
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $1400000
|
| PANTHER ENERGY TRADING LLC | CBOT | 11-8581-BC |
- TRADE PRACTICE
|
- DISGORGEMENT PAID $393884.11
- FINE PAID $1911000
- DISGORGEMENT $393884.11
- FINE $1911000
|
| PANTHER ENERGY TRADING LLC | CEI | 11-8581-BC PANTHER ENERGY TRADING |
- TRADE PRACTICE
|
- DISGORGEMENT PAID $164118.37
- FINE PAID $71880
|
| PANTHER ENERGY TRADING LLC | CME | 11-8581-BC |
- TRADE PRACTICE
|
- DISGORGEMENT $525178.81
- DISGORGEMENT PAID $525178.81
- FINE PAID $230280
- FINE $230280
|
| PANTHER ENERGY TRADING LLC | NYME | 11-8581-BC PANTHER ENERGY TRADING |
- TRADE PRACTICE
|
- DISGORGEMENT PAID $229765.73
- FINE PAID $106740
|
| PAPPAS FUTURES INC | ICE | 2007-086 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- RESTITUTION TO CUSTOMER(S) $1237.6
- FINE $500
|
| PAPPAS FUTURES, INC. | CSCE | I99-38 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| PAPPAS FUTURES, INC. | CSCE | I97-81 |
- OFFICE RECORDKEEPING
|
- FINE $500
|
| PAPPAS FUTURES, INC. | NYBT | 2004-059 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $100
|
| PARADIGM CAPITAL MANAGEMENT LLC | CFTC | 08-04 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $75000
- COMPLAINT FILED
|
| PARAGON FX ENTERPRISES LLC | CFTC | 11 CIV 7740 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| FOREX SYSTEMS LLC | NFA | 10BCC00003 |
- GENERAL CONDUCT
|
- FINE $10000
|
| PARAMOUNT FINANCIAL-DIV OF FIRST OPTIONS | CME | 985433CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| PARAMOUNT MANAGEMENT LLC | CFTC | 13 CIV 4436 |
- CFTC INJUNCTIVE ACTION
|
- ACCOUNT ORDER
- MAY NOT APPLY TO REGISTER
- COMPLAINT FILED
- FINE $1337000
- MAY NOT OPERATE AS PRINCIPAL
- STOP SOLICITING
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- FREEZE ASSETS
- MAKE RESTITUTION TO CUSTMERS
- JOINT OWED
- PERMANENT INJUNCTION
- TRADING PROHIBITION
|
| BNP PARIBAS SECURITIES CORP | CBOT | 98-MSR-27 |
- TRADE PRACTICE
- GENERAL CONDUCT
|
- FINE $10000
|
| BNP PARIBAS SECURITIES CORP | CBOT | 13-7720 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| BNP PARIBAS SECURITIES CORP | CBOT | 09-03743-BC |
- TRADE PRACTICE
|
- FINE $40000
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
- FINE PAID $40000
|
| BNP PARIBAS SECURITIES CORP | CBOT | 02-CH-0210 |
- CLEARING PROCEDURES
|
- FINE WAIVED $25000
- FINE-SUMMARY $50000
|
| BNP PARIBAS COMMODITY FUTURES INC | ICE | 2010-019 |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| BNP PARIBAS COMMODITY FUTURES INC | NYME | APP. 93-4 |
- SPECULATIVE POSITION LIMIT
|
- FINE $2000
|
| BNP PARIBAS COMMODITY FUTURES INC | NYME | AP97-01 |
- OFFICE RECORDKEEPING
|
- FINE $1250
|
| BNP PARIBAS COMMODITY FUTURES INC | NYME | 92-80 |
- FLOOR RECORDKEEPING
|
- FINE $10000
|
| BNP PARIBAS COMMODITY FUTURES INC | NYME | 03-13 |
- FLOOR RECORDKEEPING
|
- FINE $10000
- CEASE AND DESIST
|
| BNP PARIBAS COMMODITY FUTURES LIMITED | CFTC | 08-06 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $25000
- COMPLAINT FILED
|
| BNP PARIBAS COMMODITY FUTURES LIMITED | ICE | 2010-056 |
- TRADE PRACTICE
|
- FINE $8000
- CEASE AND DESIST
|
| BNP PARIBAS COMMODITY FUTURES LIMITED | ICE | 2007-117 |
- TRADE PRACTICE
|
- FINE $20000
- CEASE AND DESIST
|
| PARIS SECURITIES CORPORATION | NFA | 02BCC00027 |
- FINANCIAL
|
- FINE $2000
|
| PARIS SECURITIES CORPORATION | CFTC | 87-11 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $175000
- FCM REGISTRATION SUSPENDED
- CEASE AND DESIST ORDER
|
| PARISH ECONOMICS LLC | CFTC | 2:07-CV-01044 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| PARITY INC | CFTC | 84-2066-ER |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| PARMAN FINANCIAL | NFA | 09BCC00016 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| PARNON ENERGY INC | CFTC | 11 CV 3543 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| PARON CAPITAL MANAGEMENT LLC | NFA | 11REG00012 |
- NFA REGISTRATION ACTION
|
- CHARGES WITHDRAWN
|
| PARON CAPITAL MANAGEMENT LLC | NFA | 11MRA00002 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA TERMINATED
- MEMBER RESPONSIBILITY ACTION
|
| PARON CAPITAL MANAGEMENT LLC | CFTC | CV 11 4577 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| CARMINE ANDREW PARRELLA | ICE | 2007-085 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| PENNSYLVANIA TRADING | CBOT | 90-RRR-245 |
- OFFICE RECORDKEEPING
|
- FINE $250
|
| PENNSYLVANIA TRADING | CBOT | 05-RFT-049 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| PENNSYLVANIA TRADING | CBOT | 03-RFT-071 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| PETERS AND CO | CBOT | 93-EX -07 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PETERS AND CO | CBOT | 90-RRR-374 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| PETERS AND CO | CBOT | 87-FIN-190 |
- OFFICE RECORDKEEPING
|
- LETTER REPRIMAND
|
| PHIBRO CORPORATION | CFTC | 89-11 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $4000000
|
| PHIDIPPIDES CAPITAL LP | CFTC | 5:09-CV-00154-D |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| PHOENIX FUTURES ADVISORY CORP | NFA | 87BCC00015 |
- NFA GENERAL DISCIPLINARY ACTION
|
- FINE $5000
- CEASE AND DESIST
|
| PICO INVESTMENTS AND CONSULTING INC | CFTC | 02-60769 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- STOP SOLICITING
- FINE $360000
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
|
| PINE POINT COMMODITIES GROUP LLC | ICE | 2011-055 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| STUART J PIPPIN | CFTC | CV 05 4120 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- FINE $106500
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| PLAINS COTTON COOPERATIVE ASSOCIATION | CFTC | 75-11 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 12 MTHS
|
| PRECIOUS METALS ASSOCIATES INC | CFTC | 79-13 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| PRECIOUS METALS ASSOCIATES INC | CFTC | 78-1393 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| PRECIOUS METALS INTERNATIONAL INC | CFTC | 85-6705 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- RECEIVERSHIP
- DISGORGEMENT $0
|
| PREMIER MAN INC | NYME | 96-F341 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| PREMIER PRECIOUS METALS COMPANY | CFTC | 82-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
|
| PRISM FINANCIAL CORPORATION | CFTC | 96-D-389 |
- CFTC ADMINISTRATIVE ACTION
|
- EX PARTE RESTRAINING ORDER
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| PRO TRADING COURSE LLC | CFTC | SD 12-08 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- REGISTRATION REVOKED
|
| PRO TRADING COURSE LLC | CFTC | 11-CV-08679 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $461100
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- STOP SOLICITING
- TRADING PROHIBITION
- DEFAULT ORDER
- MAY NOT OPERATE AS PRINCIPAL
|
| PRO-BROKER SERVICE, INC. | CFTC | 97-2927 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- OTHER (SEE NARRATIVE)
|
| BULL R BEAR ADVISORS INC | NFA | 03REG00030 |
- NFA REGISTRATION ACTION
|
- SUSPENSION LIFTED
- REGISTRATION SUSPENDED
|
| PROFESSIONAL MARKET BROKERAGE INC | NFA | 02BCC00004 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| PROFESSIONAL MARKET BROKERAGE INC | NFA | 01MRA00003 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| PROFESSIONAL MARKET BROKERAGE INC | CFTC | 03-14 |
|
- ALJ DECISION
- FINE $120000
- FCM REGISTRATION REVOKED
- OTHER (SEE NARRATIVE)
- CEASE AND DESIST ORDER
|
| ALARON TRADING CORPORATION | NFA | 99BCC00004 |
- REGISTRATION
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE $200000
|
| ALARON TRADING CORPORATION | NFA | 95BCC00010 |
- FINANCIAL
- FINANCIAL POSITION AND REPORTING
- SALES PRACTICE
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- ENHANCED PROCEDURES REQUIRED
- FINE $40000
|
| ALARON TRADING CORPORATION | CFTC | 10-19 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $260000
- COMMISSION ORDER
|
| ALARON TRADING CORPORATION | CFTC | 08-10 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $180000
- MAKE RESTITUTION TO CUSTMERS
- COMPLAINT FILED
|
| ALARON TRADING CORPORATION | CME | 0905791CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $10000
|
| ALARON TRADING CORPORATION | CME | 0905351CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| ALARON TRADING CORPORATION | CME | 0805009CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| ALARON TRADING CORPORATION | CME | 07CH0002 |
- CLEARING PROCEDURES
|
- FINE $200000
|
| ALARON TRADING CORPORATION | CME | 0701999CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| ALARON TRADING CORPORATION | CME | 0700905BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
|
| ALARON TRADING CORPORATION | CME | 0627899MS |
- SPECULATIVE POSITION LIMIT
|
- CEASE AND DESIST
|
| ALARON TRADING CORPORATION | CME | 0627571CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $4500
|
| ALARON TRADING CORPORATION | CME | 0626882BC |
- TRADE PRACTICE
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
|
| ALARON TRADING CORPORATION | CME | 0626689BC |
- TRADE PRACTICE
|
- FINE $75000
- RESTITUTION TO BROKER/TRADER $59720
- FINE PAID $75000
|
| ALARON TRADING CORPORATION | CME | 0525745CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| ALARON TRADING CORPORATION | CME | 03CH0301 |
- FINANCIAL
|
- FINE-SUSPENDED AMOUNT $75000
- FINE $100000
|
| ALARON TRADING CORPORATION | CME | 0322788CTRT |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| ALARON TRADING CORPORATION | CME | 0322397CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| ALARON TRADING CORPORATION | CME | 0321595CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| PYNE COMMODITIES CORPORATION | CFTC | 82-23 |
- CFTC ADMINISTRATIVE ACTION
|
- TRADING PRIVILEGES REVOKED
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| PYNE COMMODITIES CORPORATION | CFTC | 80-3952 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| BRADFORD N GIAIMO | NYCE | 91-046 |
- FLOOR RECORDKEEPING
|
- FINE $50
|
| BRADFORD N GIAIMO | NYCE | 91-003 |
- FLOOR RECORDKEEPING
|
- FINE $50
|
| BRADFORD N GIAIMO | NYCE | 90-071 |
- FLOOR RECORDKEEPING
|
- FINE $50
|
| Q WEALTH MANAGEMENT INC | CFTC | 12-CV-00971 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $1500000
- JOINT OWED
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| BLACKROCK INVESTMENT MANAGEMENT LLC | CFTC | 07-08 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $500000
- COMPLAINT FILED
|
| QFC LLC | NFA | 13BCC00020 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| QI2 TECHNOLOGIES, INC | CFTC | 03-18 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- FINE $25000
|
| COES FX CLEARING INC | NFA | 04BCC00004 |
- REGISTRATION
- GENERAL CONDUCT
|
- FINE $20000
|
| COES FX CLEARING INC | NFA | 03MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA LIFTED
- MEMBER RESPONSIBILITY ACTION
|
| COES FX CLEARING INC | CFTC | CV 05 2547 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
|
| QUAESTUS TRADING LLC | NFA | 08BCC00015 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- FINE $7500
|
| QUALIFIED LEVERAGE PROVIDERS INC | NFA | 05BCC00003 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| QUALIFIED LEVERAGE PROVIDERS INC | CFTC | 05-61672 |
- CFTC INJUNCTIVE ACTION
|
- FINE $1400000
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| QUALIFIED LEVERAGE PROVIDERS INC | CFTC | 05-60928 |
- CFTC INJUNCTIVE ACTION
|
- FINE $3838708
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| STONEHENGE CAPITAL MANAGEMENT LLC | NFA | 10BCC00033 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $10000
|
| QUANTS CAPITAL LLC | NFA | 12BCC00038 |
- GENERAL CONDUCT
|
- OTHER--SEE NARRATIVE
- FINE (JOINTLY AND SEVERALLY) $12500
|
| QUANTUM ADVERTISING & MARKETING INC | CFTC | 97-7422 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- DISGORGEMENT $9545137
- FREEZE ASSETS
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- JOINT OWED
|
| QUEEN SHOALS CONSULTANTS LLC | CFTC | 3:11-CV-00132 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- FINE $
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT APPLY TO REGISTER
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAKE RESTITUTION TO CUSTMERS
|
| QUEEN SHOALS GROUP LLC | CFTC | 3:09-CV-00335 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1200000
- DISGORGEMENT $11105010
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- JOINT OWED
- STOP SOLICITING
|
| QUEEN SHOALS II LLC | CFTC | 3:09-CV-00335 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1200000
- DISGORGEMENT $
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- JOINT OWED
- STOP SOLICITING
|
| QUEEN SHOALS LLC | CFTC | 3:09-CV-00335 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1200000
- DISGORGEMENT $
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- JOINT OWED
- STOP SOLICITING
|
| QUICK TRADE FUTURES INC | NFA | 10BCC00012 |
- FINANCIAL
|
- FINE $10000
|
| QUIDDITY LLC | CFTC | 12-CV-06763 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| QUINN & COMPANY INC NM | CFTC | 83-41 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $100000
- TRADING PRIVILEGES REVOKED
- CTA REGISTRATION REVOKED
- CPO REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| QUINN AND COMPANY INC MA | CFTC | 84-1352 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- RECEIVERSHIP
- FREEZE ASSETS
- PROTECT BOOKS
- RETURN FUNDS
|
| R & M PRECIOUS METALS INC | CFTC | 80-2082 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- PROTECT BOOKS
- FREEZE ASSETS
|
| R & S FINANCIAL CORPORATION | NFA | 87BCC00025 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- OTHER--SEE NARRATIVE
|
| PREFERRED COMMODITY CORPORATION | NFA | 95BCC00006 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| PREFERRED COMMODITY CORPORATION | NFA | 94BCC00004 |
- FINANCIAL POSITION AND REPORTING
|
- RESTRICTIONS ON ACTIVITIES
- FINE $5000
|
| R & W TECHNICAL SERVICES LTD | CFTC | 96-3 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- RESPONDENT APPEAL
- FINE $11564000
- ALJ DECISION
|
| RUFENACHT BROMAGEN & HERTZ INC | NFA | 90BCC00032 |
- NFA GENERAL DISCIPLINARY ACTION
- REGISTRATION
|
- FINE $5000
|
| RUFENACHT BROMAGEN & HERTZ INC | CFTC | 87-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $10000
|
| RUFENACHT BROMAGEN & HERTZ INC | CME | 91CH9103 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $25000
|
| R GERVAIS FARMS INC | CFTC | 82-42 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $7500
|
| RANDOLPH J GINSBERG INTRODUCING BROKERAGE INC | NFA | 99REG00039 |
- NFA REGISTRATION ACTION
|
- REGISTRATION RESTRICTIONS AND CONDITIONS LIFTED
- REGISTRATION RESTRICTED
|
| RANDOLPH J GINSBERG INTRODUCING BROKERAGE INC | NFA | 11BCC00009 |
- GENERAL CONDUCT
- SALES PRACTICE
- REGISTRATION
- OFFICE RECORDKEEPING
|
- PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP
- WITHDRAW FROM MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| R P MANAGEMENT CO | NFA | 89BCC00008 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- FINE $5000
- SUSPENDED FROM MEMBERSHIP 6 MTHS
|
| R2 CAPITAL GROUP LLC | NFA | 13MRA00009 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| COOPERATIEVE CENTRALE RAIFFEISEN BOERENLEENBANK BA | CFTC | 14-02 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $475000000
- COMMISSION ORDER
|
| PAYCHER ABRAHAM | NFA | 88MRA00001 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
- SUSPENDED FROM MEMBERSHIP
|
| PAYCHER ABRAHAM | NFA | 88BCC00009 |
- NFA GENERAL DISCIPLINARY ACTION
|
- EXPELLED FROM MEMBERSHIP
|
| RAFFERTY ASSOCIATES | NYME | 97-F226 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAFFERTY ASSOCIATES | NYME | 97-F225 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAFFERTY ASSOCIATES | NYME | 97-F218 |
- GENERAL CONDUCT
|
- FINE $2000
|
| RAFFERTY COMMODITIES GROUP INC | NFA | 03BCC00028 |
- FINANCIAL
|
- FINE $2000
|
| RAK PALACE RENTACAR | CFTC | 10-CV-02287 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| RALLI BROTHERS (BANKERS) S A | CFTC | 82-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 24 MTHS
|
| RALLY TRADING ASSOCIATES INC | ICE | 2007-064 |
- TRADE PRACTICE
|
- FINE $500
- CEASE AND DESIST
|
| RAMCO PETROLEUM INC | CFTC | 80-0689 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- DISGORGEMENT $0
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- RECEIVERSHIP
- PROTECT BOOKS
|
| ANTHONY MICHAEL RAMUNNO JR | CFTC | 1:07-CV-0200 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $5802058.13
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- JOINT OWED
|
| RANCON CAPITOL MANAGEMENT CORP | CFTC | 04 CV 09029 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $200000
- PROTECT BOOKS
- PERMANENT INJUNCTION
- PRELIMINARY INJUNCTION
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- STOP SOLICITING
|
| RAND FINANCIAL SERVICES INC | CBOT | 99-RFT-221 |
- FLOOR RECORDKEEPING
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
|
| RAND FINANCIAL SERVICES INC | CBOT | 99-RFT-138 |
- FLOOR RECORDKEEPING
|
- OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
|
| RAND FINANCIAL SERVICES INC | CBOT | 98-RFT-200 |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| RAND FINANCIAL SERVICES INC | CBOT | 97-RFT-201 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| RAND FINANCIAL SERVICES INC | CBOT | 96-RRR-391 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAND FINANCIAL SERVICES INC | CBOT | 95-RRR-398 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAND FINANCIAL SERVICES INC | CBOT | 95-RRR-293 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| RAND FINANCIAL SERVICES INC | CBOT | 94-RRR-289 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAND FINANCIAL SERVICES INC | CBOT | 93-MSI-15 |
- OFFICE RECORDKEEPING
|
- FINE $4000
|
| RAND FINANCIAL SERVICES INC | CBOT | 0903900CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| RAND FINANCIAL SERVICES INC | CBOT | 05-MSI-057 |
- GENERAL CONDUCT
|
- FINE $10000
|
| RAND FINANCIAL SERVICES INC | CBOT | 02-MSI-33 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $8500
|
| RAND FINANCIAL SERVICES INC | CBOT | 00-RFT-219 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| RAND FINANCIAL SERVICES INC | CME | 0626968CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| RAND-BOND HOLDINGS, INC. | CFTC | 89-916-JLI |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- FREEZE ASSETS
- ACCOUNT ORDER
- ACCESS BOOKS
- RECEIVERSHIP
- PROTECT BOOKS
|
| RAND-BOND OF NORTH AMERICA INC | CFTC | 89-916-JLI |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| RANGE WISE INC | NFA | 11BCC00034 |
- GENERAL CONDUCT
|
- FINE $15000
|
| PIERCE STEPHEN ALAN | CFTC | 02-15 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- FINE $25000
- COMMISSION ORDER
|
| DAVID C RATKOWSKI | NFA | 08AWD00002 |
- NFA ARBITRATION SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| ROBERT TIMOTHY RATTY | CBOT | 98-RIT-017A |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| ROBERT TIMOTHY RATTY | CBOT | 98-RIT-007G |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| ROBERT TIMOTHY RATTY | CBOT | 03-RIT-049A |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| RAUSCHER PIERCE REFSNES INC | CFTC | 82-9 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $20000
|
| RAY RAWLIN R | NFA | 88BCC00040 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- TEMPORARY BAR FROM NFA MEMBERSHIP
|
| RB TRADING | CBOT | 1004954CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| RB TRADING | CBOT | 06-FIN-027 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| RB&H FINANCIAL SERVICES LP | CFTC | 01-18 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- FINE $220000
- DIV. OF ENFORCEMENT APPEAL
- RESPONDENT APPEAL
- ALJ ORDER
- CEASE AND DESIST ORDER
|
| RB&H FINANCIAL SERVICES LP | CME | 963895CTRA |
- FLOOR RECORDKEEPING
|
- FINE $2500
|
| RB&H FINANCIAL SERVICES LP | CME | 0321993CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $3500
|
| RB&H FINANCIAL SERVICES LP | CME | 0220332CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| RBC CAPITAL MARKETS CORPORATION | CBOT | 2007-INV-19 |
- TRADE PRACTICE
|
- FINE $2500
|
| RBS SECURITIES INC | BTX | 03MINV1244 |
- TRADE PRACTICE
|
- UNDERTAKING
- FINE $5000
|
| RBS SECURITIES INC | CBOT | 2007-INV-9B |
- TRADE PRACTICE
|
- FINE $40000
|
| RBS SECURITIES INC | CBOT | 2003-INV-17A |
- TRADE PRACTICE
|
- FINE $15000
|
| RBS SECURITIES INC | CBOT | 2002-EX-19 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $5000
|
| RBS SECURITIES INC | CBOT | 1206712CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| RBS SECURITIES INC | CBOT | 12-06715 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| RBS SECURITIES INC | CBOT | 11-8697-BC |
- TRADE PRACTICE
|
- FINE $15000
- FINE PAID $15000
|
| RBS SECURITIES INC | CBOT | 07-MSI-002 |
- GENERAL CONDUCT
|
- FINE $40000
|
| RBS SECURITIES INC | CBOT | 04-MSR-37A |
- GENERAL CONDUCT
|
- FINE $15000
|
| RBS SECURITIES INC | CBOT | 01-MSI-45 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $30000
|
| RBS SECURITIES INC | CEI | 12-8717-BC - RBS SECURITIES INC. |
- TRADE PRACTICE
|
- FINE PAID $70000
|
| RBS SECURITIES INC | CEI | 12-00105 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| RBS SECURITIES INC | CME | 922557BC |
- OFFICE RECORDKEEPING
|
- FINE $20000
|
| RBS SECURITIES INC | CME | 1208885CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| RBS SECURITIES JAPAN LIMITED | CFTC | 13-14 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- JOINT OWED
- FINE $325000000
|
| RCS CAPITAL MANAGEMENT INC | NFA | 01BCC00005 |
- GENERAL CONDUCT
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| RE LLOYD COMMODITIES GROUP HOLDING LLC | CFTC | 8:10-CV-01876 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| RECINE TRADING COMPANY | NFA | 12BCC00019 |
- GENERAL CONDUCT
- FINANCIAL
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
- PERMANENT BAR FROM PRINCIPAL STATUS
|
| RED BARON TRADING ULTIMATE 1 & 2 | CFTC | C-95-279 |
- CFTC INJUNCTIVE ACTION
|
|
| RED ROCK TRADING INTERNATIONAL LTD | NFA | 93MRA00003 |
- NFA GENERAL DISCIPLINARY ACTION
|
- RESTRICTIONS ON ACTIVITIES
- MEMBER RESPONSIBILITY ACTION
|
| REFCO CAPITAL MARKETS LTD | NYCE | 2000-099 |
- TRADE PRACTICE
|
- FINE $13000
|
| REFCO OVERSEAS LIMITED | CFTC | 04-27 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $25000
- COMPLAINT FILED
|
| REFCO SECURITIES SA PARIS | CME | 0424318BC |
- TRADE PRACTICE
|
- FINE $15000
|
| REGAL COMMODITIES INC | CFTC | 84-6495-JE |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- CHARGE CIVIL
- ACCESS BOOKS
- PROTECT BOOKS
|
| RMA PARTNERS | CFTC | 85-50 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $20000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| REX TRADING CORPORATION | ICE | 2012-074 |
- TRADE PRACTICE
|
- CEASE AND DESIST
- FINE PAID $75000
|
| RHINO FUND MANAGEMENT LC | NFA | 11BCC00035 |
- GENERAL CONDUCT
|
- WITHDRAW FROM MEMBERSHIP INDF
- FINE (CONTINGENT) $15000
|
| RICHARD FRANK COMPANY | CFTC | 84-24 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $50000
- JOINT OWED
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 1 MTHS
|
| RICHWELL INTERNATIONAL CONSULTANTS (USA) | CFTC | C-93-3494 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $343008
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- FREEZE ASSETS
|
| RICHWELL INTERNATIONAL, LTD. | CFTC | C-93-3494 |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- EX PARTE RESTRAINING ORDER
- DISGORGEMENT $343008
- RECEIVERSHIP
- FREEZE ASSETS
- PROTECT BOOKS
- ACCESS BOOKS
- STOP SOLICITING
- RETURN FUNDS
|
| RIVIERA LIMITED PARTNERSHIP | CBOT | 89-FIN-91 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| ROSLEX CORPORATION | NFA | 11BCC00011 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
|
- PERMANENT BAR FROM PRINCIPAL STATUS
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| ROSLEX CORPORATION | NFA | 05BCC00021 |
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- FINE $30000
|
| ROLLING MEADOW RANCH INC | CFTC | 06-08 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- NOT APPEAR ON TRADING FLOOR
- FINE $130000
- JOINT OWED
- COMPLAINT FILED
|
| ROTHSCHILD COMMODITIES CORPORATION | CFTC | 78-1822A |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- FREEZE ASSETS
- RECEIVERSHIP
- ACCESS BOOKS
- PROTECT BOOKS
|
| ROTHSCHILD INTERNATIONAL INC | CFTC | 89-0915K |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- RECEIVERSHIP
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| ROYAL FOREX TRADING LLC | NFA | 07BCC00028 |
- FINANCIAL
- SALES PRACTICE
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $75000
|
| S F PELLAS AND COMPANY INC | CFTC | 78-62 |
- CFTC ADMINISTRATIVE ACTION
|
- FCM REGISTRATION REVOKED
- CEASE AND DESIST ORDER
|
| MICHAEL JAMES SEWARD | NFA | 13MRA00005 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MEMBER RESPONSIBILITY ACTION
|
| MICHAEL JAMES SEWARD | NFA | 13BCC00026 |
- SALES PRACTICE
- GENERAL CONDUCT
|
|
| S L S TRADING CORPORATION | CFTC | 78-8293 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- ACCESS BOOKS
- DISGORGEMENT $0
|
| S L S TRADING CORPORATION | CFTC | 78-55 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $15000
- JOINT OWED
- CEASE AND DESIST ORDER
|
| S&P COMMODITY TRADING CORP | ICE | 2009-076 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $500
|
| S&P SAFE CO | CFTC | 01-16 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- FINE $10000
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| S&S EQUITY'S | CFTC | 92-422-ECI |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- FREEZE ASSETS
- TEMPORARY RESTRAINING ORDER
- ACCESS BOOKS
- RECEIVERSHIP
- DEFAULT ORDER
- PROTECT BOOKS
|
| S. MEIRFIELD, INC. | CFTC | 80-28 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $20000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED
- REGISTRATION SUSPENDED 2 MTHS
|
| S.G. MARX & ASSOCIATES, INC. | CBOT | 94-FIN-38 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| SAFE HARBOR VENTURES INC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| SAFE HARBOR WEALTH INC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| SAFE HARBOR WEALTH INVESTMENTS INC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| RONALD W SMITH JR | CFTC | 1:10CV00009 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- MAY NOT OPERATE AS PRINCIPAL
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- STOP SOLICITING
- TRADING PROHIBITION
- FINE $2008251
- PERMANENT INJUNCTION
|
| SAFEGUARD FX LLC | CFTC | 05-60928 |
- CFTC INJUNCTIVE ACTION
|
- FINE $2948582
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- STOP SOLICITING
- OTHER (SEE NARRATIVE)
|
| SAFEVEST LLC | CFTC | SACV08-00474 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- MAY NOT APPLY TO REGISTER
- PROTECT BOOKS
- STOP SOLICITING
- FINE $5000000
- JOINT OWED
- OTHER (SEE NARRATIVE)
- DEFAULT ORDER
- DISGORGEMENT $18431931
- TRADING PROHIBITION
|
| SAGE FINANCIAL TRADING GROUP | NFA | 01BCC00005 |
- GENERAL CONDUCT
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| SAGE CLEARING LIMITED PARTNERSHIP | NFA | 96BCC00009 |
- OFFICE RECORDKEEPING
- FINANCIAL
|
- ENHANCED PROCEDURES REQUIRED
- FINE $7500
|
| SAGE GROUP INC THE | NFA | 89BCC00030 |
- NFA GENERAL DISCIPLINARY ACTION
- FINANCIAL POSITION AND REPORTING
|
- FINE $3000
|
| SAGINAW HARRY J | NFA | 93DUE00023 |
- NFA DUES SUSPENSION
|
- SUSPENDED FROM MEMBERSHIP
|
| SAKURA DELLSHER INC | CBOT | 98-INV-22B |
- TRADE PRACTICE
|
- LETTER REPRIMAND
|
| SAKURA DELLSHER INC | CBOT | 96-RRR-376 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| SAKURA DELLSHER INC | CBOT | 96-RRR-284 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| SAKURA DELLSHER INC | CBOT | 95-RRR-304 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| SAKURA DELLSHER INC | CBOT | 93-RRR-103 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| SAKURA DELLSHER INC | CBOT | 90-RRR-273 |
- OFFICE RECORDKEEPING
|
- FINE $1000
|
| SAKURA DELLSHER INC | CBOT | 89-RRR-234 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| KS GLOBAL STRATEGIES INC | NFA | 12MRA00008 |
- NFA GENERAL DISCIPLINARY ACTION
|
- MRA TERMINATED
- MEMBER RESPONSIBILITY ACTION
|
| KS GLOBAL STRATEGIES INC | NFA | 12BCC00040 |
- GENERAL CONDUCT
|
- FINE (JOINTLY AND SEVERALLY) $50000
|
| SALER AND COMPANY | CFTC | 85-14 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $30000
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 4 MTHS
|
| CHASE COMMODITIES CORP | CFTC | SD 06-01 |
- CFTC ADMINISTRATIVE ACTION
|
- COMMISSION ORDER
- IB REGISTRATION REVOKED
- COMPLAINT FILED
|
| CHASE COMMODITIES CORP | CFTC | CV04-6463 |
- CFTC INJUNCTIVE ACTION
|
- MAKE RESTITUTION TO CUSTMERS
- OTHER (SEE NARRATIVE)
- JOINT OWED
- STOP SOLICITING
- TRADING PROHIBITION
- PERMANENT INJUNCTION
|
| SALOMON BROTHERS INC | CBOT | 96-RRR-327 |
- FLOOR RECORDKEEPING
|
- FINE $500
|
| SALOMON BROTHERS INC | CBOT | 94-MSR-05 |
- GENERAL CONDUCT
|
- FINE $5000
|
| CITIGROUP GLOBAL MARKETS LIMITED | CFTC | 12-34 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $525000
- COMPLAINT FILED
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | RSRH-13-1376 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $500
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | CBOT-07-72958-BC |
- TRADE PRACTICE
|
- FINE PAID $15000
- FINE $15000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 99RFT023;158 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 99-MSR-12B |
- GENERAL CONDUCT
|
- FINE $1000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 89-FIN-101 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 87-FIN-75 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $500
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 2004-INV-15 |
- TRADE PRACTICE
|
- FINE $50000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 1306980CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 13-9370 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $3000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 1206424CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 12-CH-1208 |
- CLEARING PROCEDURES
|
- FINE WAIVED $25000
- FINE-SUMMARY $50000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 1004547CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 0802932CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CITIGROUP GLOBAL MARKETS INC | CBOT | 06-MSR-046B |
- GENERAL CONDUCT
|
- FINE $10000
|
| CITIGROUP GLOBAL MARKETS INC | CEI | RSRH-13-1373 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| CITIGROUP GLOBAL MARKETS INC | CME | RSRH-13-1375 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $4000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 13-9311 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 13-9221 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 13-7628-CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CITIGROUP GLOBAL MARKETS INC | CME | 1006753CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 0905250CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $2500
|
| CITIGROUP GLOBAL MARKETS INC | CME | 0702732CTRT |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1500
|
| CITIGROUP GLOBAL MARKETS INC | CME | 0525703CTRA |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $1000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 0221378CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CITIGROUP GLOBAL MARKETS INC | CME | 0118471CTRA |
- FLOOR RECORDKEEPING
|
- FINE $1000
|
| CITIGROUP GLOBAL MARKETS INC | CSCE | I98-05 |
- OFFICE RECORDKEEPING
- FLOOR RECORDKEEPING
|
- FINE $750
|
| CITIGROUP GLOBAL MARKETS INC | NYBT | 2005-088 |
- TRADE PRACTICE
|
- FINE $50000
- CEASE AND DESIST
|
| CITIGROUP GLOBAL MARKETS INC | NYBT | 2004-045 |
- FLOOR RECORDKEEPING
|
- FINE $25000
- CEASE AND DESIST
|
| CITIGROUP GLOBAL MARKETS INC | NYFE | OT-3 |
- FLOOR RECORDKEEPING
|
- FINE-SUMMARY $5
|
| CITIGROUP GLOBAL MARKETS INC | NYME | RSRH-13-1374 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| CITIGROUP GLOBAL MARKETS INC | NYME | 13-9220 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $5000
|
| CITIGROUP GLOBAL MARKETS INC | NYME | 12-9170 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $2000
|
| SAM FISHBERG AND COMPANY INC | CFTC | 80-32 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $4500
- JOINT OWED
- CEASE AND DESIST ORDER
- TRADING PRIVILEGES SUSPENDED 2 MTHS
|
| DL GLOBAL FUTURES LLC | NFA | 12BCC00005 |
- GENERAL CONDUCT
|
- FINE $15000
|
| DL GLOBAL FUTURES LLC | NFA | 09BCC00007 |
- GENERAL CONDUCT
|
- FINE $10000
|
| SAN DIEGO FOREIGN CURRENCY INC | CFTC | 79-03851 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
|
| SAN DIEGO GAS & ELECTRIC COMPANY | CFTC | 10-08 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- COMMISSION ORDER
- OTHER (SEE NARRATIVE)
- FINE $80000
- COMPLAINT FILED
|
| SAN FRANCISCO SUN HING BULLION LIMITED | CFTC | 92-9 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $140000
- TRADING PRIVILEGES REVOKED
- JOINT OWED
- CEASE AND DESIST ORDER
- MAY NOT APPLY TO REGISTER
|
| SAN FRANCISCO SUN HING BULLION LIMITED | CFTC | 90-5214R |
- CFTC INJUNCTIVE ACTION
|
- COMPLAINT FILED
- PERMANENT INJUNCTION
|
| SAND DOLLAR INVESTING PARTNERS LLC | CFTC | 1:09-CV-01331 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- DISGORGEMENT $14637000
- FINE $14637000
- JOINT OWED
- TRADING PROHIBITION
- MAY NOT OPERATE AS PRINCIPAL
- PERMANENT INJUNCTION
- STOP SOLICITING
- MAY NOT APPLY TO REGISTER
|
| SANTANDER INVESTMENT SECURITIES INC | CEI | 13-7504 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1250
|
| SANTANDER INVESTMENT SECURITIES INC | ICE | 2012-081 |
- CLEARING PROCEDURES
|
- FINE PAID $25000
|
| SANTANDER INVESTMENT SECURITIES INC | NYME | 13-7503 |
- OFFICE RECORDKEEPING
|
- FINE-SUMMARY $1250
|
| SARATOGA FUTURES INC | NFA | 96BCC00013 |
- GENERAL CONDUCT
- REGISTRATION
- OFFICE RECORDKEEPING
|
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| SARATOGA FUTURES INC | CFTC | 85-45 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- FINE $5000
|
| SARSOUN LAWRENCE CHARLES | NFA | 88REG00044 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| SASCO ENERGY PARTNERS LLC | IOTC | 11-00115 |
- TRADE PRACTICE
|
- FINE $60000
|
| SASCO ENERGY PARTNERS LLC | NYME | 12-8945-BC SASCO ENERGY PARTNERS LLC |
- TRADE PRACTICE
|
- FINE PAID $30000
|
| GLOBAL FUTURES HOLDINGS INC | NFA | 95BCC00007 |
- GENERAL CONDUCT
- SALES PRACTICE
- OFFICE RECORDKEEPING
|
- OTHER--SEE NARRATIVE
- FINE $7500
|
| GLOBAL FUTURES HOLDINGS INC | NFA | 93BCC00007 |
- FINANCIAL
- OFFICE RECORDKEEPING
- FINANCIAL POSITION AND REPORTING
|
- OTHER--SEE NARRATIVE
- FINE $7500
|
| SAXO BANK AS | CBOT | CBOT-06-ETI-34-BC |
- TRADE PRACTICE
|
- FINE $20000
- FINE PAID $20000
|
| SAXON AND WINDSOR GROUP LTD | CFTC | 79-1580 |
- CFTC INJUNCTIVE ACTION
|
- PERMANENT INJUNCTION
- PROTECT BOOKS
- FREEZE ASSETS
|
| SAXON FINANCIAL SERVICES INC | CFTC | 1 07-CV-2436 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $3289434
- MAY NOT APPLY TO REGISTER
- OTHER (SEE NARRATIVE)
- PROTECT BOOKS
- STOP SOLICITING
- TRADING PROHIBITION
- DISGORGEMENT $1096478
- PERMANENT INJUNCTION
|
| SAXON FINANCIALS LIMITED | XEUS | 05-02 |
- TRADE PRACTICE
|
- FINE $75000
|
| SBC WARBURG INC | CBOT | 95-EX-16 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| UBS MANAGED FUND SERVICES INC | CBOT | 99-RFT-149 |
- FLOOR RECORDKEEPING
|
- FINE $750
|
| UBS MANAGED FUND SERVICES INC | CBOT | 99-EX-12 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $1000
|
| UBS MANAGED FUND SERVICES INC | CBOT | 98-RFT-119 |
- FLOOR RECORDKEEPING
|
|
| UBS MANAGED FUND SERVICES INC | CBOT | 98-RFT-017 |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| UBS MANAGED FUND SERVICES INC | CBOT | 98-MSR-039 |
- GENERAL CONDUCT
|
- FINE $5000
|
| UBS MANAGED FUND SERVICES INC | CBOT | 97-RFT-021 |
- FLOOR RECORDKEEPING
|
- FINE $2000
|
| UBS MANAGED FUND SERVICES INC | CBOT | 96-RRR-224 |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| UBS MANAGED FUND SERVICES INC | CBOT | 95-RRR-339 |
- FLOOR RECORDKEEPING
|
- FINE $100
|
| UBS MANAGED FUND SERVICES INC | CBOT | 00RFT07;088 |
- FLOOR RECORDKEEPING
|
- FINE $3000
|
| UBS MANAGED FUND SERVICES INC | CME | 0118612CTRT |
- FLOOR RECORDKEEPING
|
- FINE $5000
|
| UBS MANAGED FUND SERVICES INC | CME | 0118598CTRT |
- FLOOR RECORDKEEPING
|
- FINE $1500
|
| SBCI FUTURES INC | CBOT | 94-RRR-104G |
- FLOOR RECORDKEEPING
|
- FINE $250
|
| AMERITOWN CAPITAL MANAGEMENT CORPORATION | NFA | 04REG00024 |
- NFA REGISTRATION ACTION
|
- REGISTRATION DENIED
|
| WIEST ROBERT FRANCIS | NFA | 92BCC00016 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 5 YRS
|
| MONICA SCHIERA MAIN | CFTC | CV05 2660 |
- CFTC INJUNCTIVE ACTION
|
- FINE $1290000
- OTHER (SEE NARRATIVE)
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | NFA | 95BCC00008 |
- FINANCIAL
- OFFICE RECORDKEEPING
- GENERAL CONDUCT
- FINANCIAL POSITION AND REPORTING
|
- PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CFTC | 95-10 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $400000
- CEASE AND DESIST ORDER
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
- RESPONDENT APPEAL
- FCM REGISTRATION REVOKED
- ALJ DECISION
- DIV. OF ENFORCEMENT APPEAL
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CME | MS8930 |
- TRADE PRACTICE
|
- FINE $2500
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CME | 92CH9209 |
- FINANCIAL
|
- FINE $25000
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CME | 92931CRD |
- SALES PRACTICE
|
- FINE $5000
- CEASE AND DESIST
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CME | 91CH9104 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $10000
|
| FIRST COMMERCIAL FINANCIAL GROUP INC | CME | 90CH9012 |
- FINANCIAL POSITION AND REPORTING
|
- FINE $7500
|
| CHARLES DENNIS SCOTT | CFTC | 88-13 |
- CFTC ADMINISTRATIVE ACTION
|
- FINE $40000
- AP REGISTRATION SUSPENDED 1 MTHS
- TRADING PRIVILEGES REVOKED
|
| SECURE WEALTH FUND LLC | CFTC | 3:09-CV-00335 |
- CFTC INJUNCTIVE ACTION
|
- FINE DELINQUENT
- FINE $1200000
- DISGORGEMENT $15000
- OTHER (SEE NARRATIVE)
- MAKE RESTITUTION TO CUSTMERS
- TRADING PROHIBITION
- PERMANENT INJUNCTION
- JOINT OWED
- STOP SOLICITING
|
| SECURED PRECIOUS METALS INTERNATIONAL INC | CFTC | 13-12 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PROHIBITION 5 YRS
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| SECURED PRECIOUS METALS MANAGEMENT INC | CFTC | 13-12 |
- CFTC ADMINISTRATIVE ACTION
|
- CEASE AND DESIST ORDER
- TRADING PROHIBITION 5 YRS
- OTHER (SEE NARRATIVE)
- COMMISSION ORDER
|
| SELECTIVE FUTURES MANAGEMENT LLC | CFTC | 00-2071 RHK |
- CFTC INJUNCTIVE ACTION
|
- JOINT OWED
- TRADING PROHIBITION
- PROTECT BOOKS
- OTHER (SEE NARRATIVE)
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
|
| SENTINEL MANAGEMENT GROUP INC | NFA | 07MRA00011 |
- NFA GENERAL DISCIPLINARY ACTION
|
- PETITION FOR STAY DENIED
- PETITION FOR STAY FILED
|
| SENTINEL MANAGEMENT GROUP INC | CFTC | 08CV2410 |
- CFTC INJUNCTIVE ACTION
|
- OTHER (SEE NARRATIVE)
- MAY NOT APPLY TO REGISTER
- TRADING PROHIBITION
- STOP SOLICITING
- PERMANENT INJUNCTION
|
| SG COMMODITIES LLC | NFA | 09REG00004 |
- NFA REGISTRATION ACTION
|
- REGISTRATION REVOKED
|
| MARK RUSSELL SHAWZIN | NFA | 03REG00011 |
- NFA REGISTRATION ACTION
|
|
| SHILOH ESTATE LLC | CFTC | 3:11-CV-00023 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- EX PARTE RESTRAINING ORDER
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- COMPLAINT FILED
|
| SHRI KRISHNA INVESTMENT RESEARCH CORP | CFTC | CV 04 3081 |
- CFTC INJUNCTIVE ACTION
|
- FINE $20000
- PERMANENT INJUNCTION
- JOINT OWED
|
| WALTERS WILLIAM G | NFA | 89BCC00034 |
- NFA GENERAL DISCIPLINARY ACTION
- SALES PRACTICE
|
- PENALTY STAYED - ON APPEAL
- PERMANENT BAR FROM NFA MEMBERSHIP
|
| COURTNEY DAVID SMITH | NFA | 12BCC00041 |
- SALES PRACTICE
- GENERAL CONDUCT
|
- SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
- FINE $10000
|
| SONOMA TRADING CORPORATION | CFTC | 05-60342 |
- CFTC INJUNCTIVE ACTION
|
- DEFAULT ORDER
- PERMANENT INJUNCTION
- OTHER (SEE NARRATIVE)
- FINE $500000
|
| SOUTH AFRICAN CONTROLLED INVESTMENTS | CFTC | 89-1923PN |
- CFTC INJUNCTIVE ACTION
|
- PRELIMINARY INJUNCTION
- PERMANENT INJUNCTION
- MAKE RESTITUTION TO CUSTMERS
- ACCOUNT ORDER
- PROTECT BOOKS
- ACCESS BOOKS
- FREEZE ASSETS
|
| SOUTH CHINA INVESTMENTS INC | CFTC | C 05 2641 |
- CFTC INJUNCTIVE ACTION
|
- ACCESS BOOKS
- ACCOUNT ORDER
- COMPLAINT FILED
- PROTECT BOOKS
- FREEZE ASSETS
- OTHER (SEE NARRATIVE)
- EX PARTE RESTRAINING ORDER
|
| SOUTH COAST COMMODITIES INC | CFTC | SD 07-01 |
- CFTC ADMINISTRATIVE ACTION
|
- OTHER (SEE NARRATIVE)
- IB REGISTRATION REVOKED
- ALJ DECISION
- COMPLAINT FILED
|
| SOUTH COAST COMMODITIES INC | CFTC | |