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Regulatory Actions

GERALD INC NFA ID: 0000102

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

ContributorCase #Action TypeEffective DateCase Outcome
NFA 88BCC00003 • NFA GENERAL DISCIPLINARY ACTION
01/20/1988 • FINE $20000
• CEASE AND DESIST
CFTC 93-4 • CFTC ADMINISTRATIVE ACTION
02/17/1993 • CEASE AND DESIST ORDER
• FINE $65000
CFTC 91-3 • CFTC ADMINISTRATIVE ACTION
10/16/1992 • FINE $150000
• COMMISSION ORDER
• CEASE AND DESIST ORDER
CBOT 93-FIN-58 • FINANCIAL POSITION AND REPORTING
08/23/1993 • FINE $500
CBOT 91-RRR-338 • FLOOR RECORDKEEPING
03/02/1992 • FINE $1000
CEI 21/404/89 • GENERAL CONDUCT
03/14/1990 • FINE $110000
• CEASE AND DESIST
CME 91CH9102 • SPECULATIVE POSITION LIMIT
06/27/1991 • FINE $2500
CME 89CH8927 • FINANCIAL POSITION AND REPORTING
• FINANCIAL
02/14/1990 • FINE $35000
CSCE I92-73 • OFFICE RECORDKEEPING
02/19/1993 • FINE $500
NYCE 90-034 • OFFICE RECORDKEEPING
• FINANCIAL
06/27/1990 • FINE $5000
NYCE 90-001 • OFFICE RECORDKEEPING
01/26/1990 • FINE $250
NYME 93-F177 • GENERAL CONDUCT
10/28/1993 • FINE $500
NYME 93-F176 • GENERAL CONDUCT
10/28/1993 • FINE $500
NYME 91-F43 • GENERAL CONDUCT
01/30/1991 • FINE $2000
NYME 91-71 • SPECULATIVE POSITION LIMIT
02/12/1992 • FINE $2000
 
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