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Regulatory Actions

ROSENTHAL COLLINS GROUP LLC NFA ID: 0000756

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
CFTC 80-21 • CFTC ADMINISTRATIVE ACTION
06/07/1985 • CEASE AND DESIST ORDER
• FINE $15000
CFTC 77-10 • CFTC ADMINISTRATIVE ACTION
11/13/1986 • JOINT OWED
• FINE $30000
CFTC 15-08 • CFTC ADMINISTRATIVE ACTION
11/13/2014 • FINE $700000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• DISGORGEMENT $104279
• OTHER (SEE NARRATIVE)
CFTC 12-18 • CFTC ADMINISTRATIVE ACTION
04/12/2012 • FINE $1600000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• DISGORGEMENT $921260.9
• OTHER (SEE NARRATIVE)
CFTC 10-21 • CFTC ADMINISTRATIVE ACTION
09/30/2010 • FINE $780000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• DISGORGEMENT $618526
• OTHER (SEE NARRATIVE)
CFTC 08-12 • CFTC ADMINISTRATIVE ACTION
08/26/2008 • FINE $310000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CFTC 07-02 • CFTC ADMINISTRATIVE ACTION
01/10/2007 • FINE $25000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CBOE CFE 14-0004 • FINANCIAL POSITION AND REPORTING
10/06/2014 • FINE $25000
• CENSURE
CBOT RSRH-13-2310 • OFFICE RECORDKEEPING
02/21/2014 • FINE-SUMMARY $5000
CBOT CBOT-08-00730-BC • TRADE PRACTICE
02/23/2009 • FINE $10000
• FINE PAID $10000
CBOT CBOT 08-02483-MS-BC • TRADE PRACTICE
• GENERAL CONDUCT
12/31/2009 • FINE $250000
• FINE PAID $250000
CBOT 99-RFT-195 • FLOOR RECORDKEEPING
07/06/2000 • FINE $2000
CBOT 99-RFT-112 • FLOOR RECORDKEEPING
07/06/2000 • FINE $2000
CBOT 98-MSR-07 • GENERAL CONDUCT
08/21/1998 • FINE $5000
CBOT 98-INV-24B • TRADE PRACTICE
12/15/1998 • LETTER REPRIMAND
CBOT 97-RFT-073 • FLOOR RECORDKEEPING
02/17/1998 • FINE $1500
CBOT 96-RRR-393 • FLOOR RECORDKEEPING
02/02/1998
CBOT 96-RRR-283 • FLOOR RECORDKEEPING
02/02/1998 • FINE $1000
CBOT 96-MSI-04 • GENERAL CONDUCT
01/29/1997 • FINE $250
CBOT 95-RRR-283 • FLOOR RECORDKEEPING
01/10/1996 • FINE $500
CBOT 95-INV-20 • TRADE PRACTICE
09/27/1995 • LETTER REPRIMAND
CBOT 93-FIN-28 • FINANCIAL POSITION AND REPORTING
03/23/1993 • FINE $500
CBOT 92-INV-13 • GENERAL CONDUCT
01/12/1993 • FINE $5000
CBOT 91-MSI-47A • SPECULATIVE POSITION LIMIT
02/06/1992 • FINE $2500
CBOT 90-MSI-63A • SPECULATIVE POSITION LIMIT
02/19/1991 • FINE $1000
CBOT 89-RRR-260 • OFFICE RECORDKEEPING
08/06/1990 • FINE $2000
CBOT 89-EX -124 • OFFICE RECORDKEEPING
12/11/1989 • FINE $500
CBOT 89-EX -01 • OFFICE RECORDKEEPING
10/23/1989 • FINE $4000
CBOT 2001-INV-31B • GENERAL CONDUCT
05/09/2002 • FINE $15000
CBOT 14-8010 • OFFICE RECORDKEEPING
12/01/2014 • FINE-SUMMARY $4000
CBOT 14-7868 • OFFICE RECORDKEEPING
04/14/2014 • FINE-SUMMARY $2500
CBOT 13-7587-CTRA • FLOOR RECORDKEEPING
09/26/2013 • FINE-SUMMARY $2500
CBOT 12-9199 • OFFICE RECORDKEEPING
02/19/2014 • FINE-SUMMARY $2000
CBOT 12-8800-BC • TRADE PRACTICE
09/25/2014 • FINE PAID $3500
• FINE $3500
CBOT 0903401CTRA • FLOOR RECORDKEEPING
05/13/2009 • FINE $2500
CBOT 07-RFT-059 • FLOOR RECORDKEEPING
02/26/2008 • FINE $2500
CBOT 02-RFT-043 • FLOOR RECORDKEEPING
03/13/2003 • FINE $2500
CBOT 01-RFT-102 • FLOOR RECORDKEEPING
07/31/2002 • FINE $750
CBOT 00RFT53;53A • FLOOR RECORDKEEPING
04/11/2001 • FINE $2500
CBOT 00-RFT-199 • FLOOR RECORDKEEPING
06/20/2001 • FINE $500
CEI 33/91 • FINANCIAL POSITION AND REPORTING
02/13/1992 • FINE $3500
• CEASE AND DESIST
CEI 14-7868 • OFFICE RECORDKEEPING
04/14/2014 • FINE-SUMMARY $500
CME 986129FP • TRADE PRACTICE
03/15/1999 • FINE $1000
CME 97CH9703 • CLEARING PROCEDURES
01/23/1998 • FINE-SUSPENDED AMOUNT $10000
• FINE $25000
CME 963772CTRA • FLOOR RECORDKEEPING
03/04/1996 • FINE $2500
CME 94CH9409 • FINANCIAL POSITION AND REPORTING
07/25/1994 • FINE $2500
CME 15-8679 CTRA • OFFICE RECORDKEEPING
11/18/2015 • FINE-SUMMARY $5000
CME 14-8054 • OFFICE RECORDKEEPING
10/22/2014 • FINE-SUMMARY $1000
CME 14-7887-CTRA • FLOOR RECORDKEEPING
03/26/2014 • FINE-SUMMARY $2500
CME 14-7868 • OFFICE RECORDKEEPING
04/14/2014 • FINE-SUMMARY $1000
CME 12-CH-1205 • CLEARING PROCEDURES
12/17/2012 • FINE WAIVED $12500
• FINE-SUMMARY $25000
CME 1108191CTRA • FLOOR RECORDKEEPING
12/01/2011 • FINE-SUMMARY $2500
CME 09-CH-0902 • CLEARING PROCEDURES
06/05/2009 • FINE-SUMMARY $10000
CME 0702402CTRA • FLOOR RECORDKEEPING
01/07/2008 • FINE-SUMMARY $1000
CME 0626382CTRA • FLOOR RECORDKEEPING
02/23/2006 • FINE $2000
CME 0424326BC • FLOOR RECORDKEEPING
• SPECULATIVE POSITION LIMIT
• OFFICE RECORDKEEPING
09/02/2005 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
• FINE $175000
CME 0423658CTRA • FLOOR RECORDKEEPING
05/07/2004 • FINE $1000
CME 0423551CTRA • FLOOR RECORDKEEPING
04/16/2004 • FINE-SUMMARY $2500
CME 0322391CTRA • FLOOR RECORDKEEPING
08/11/2003 • FINE $1000
CME 0220229CTRA • FLOOR RECORDKEEPING
04/15/2002 • FINE $2000
CME 0119741CTRT • FLOOR RECORDKEEPING
12/31/2001 • FINE $1500
CSCE I93-77 • OFFICE RECORDKEEPING
07/05/1994 • FINE $250
CSCE A94-SP06C • FINANCIAL POSITION AND REPORTING
10/27/1994 • FINE $5000
CSCE A94-03C • FINANCIAL
05/20/1994 • FINE $1000
ICE CASE NO. 2012-056 • FLOOR RECORDKEEPING
10/10/2013 • FINE PAID $3000
ICE 2010-076 • OFFICE RECORDKEEPING
01/24/2014 • FINE PAID $10000
• CEASE AND DESIST
MGE 15-I-38 • FLOOR RECORDKEEPING
03/15/2016 • FINE-SUMMARY $1000
MGE 14-I-33 • FLOOR RECORDKEEPING
05/27/2015 • WARNING LETTER
NYCE 97-021 • TRADE PRACTICE
05/19/1997 • FINE $100
NYCE 91-D19 • DECORUM AND ATTIRE
12/23/1991 • FINE $100
NYME RSRH-12-1214 • OFFICE RECORDKEEPING
02/27/2013 • FINE-SUMMARY $1500
NYME 14-8054 • OFFICE RECORDKEEPING
10/22/2014 • FINE-SUMMARY $9000
NYME 14-7868 • OFFICE RECORDKEEPING
04/14/2014 • FINE-SUMMARY $500
 
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