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.

Contributor Case # Action Type Effective Date Case 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 12-18 • CFTC ADMINISTRATIVE ACTION 04/12/2012 • COMMISSION ORDER • OTHER (SEE NARRATIVE) • DISGORGEMENT $921260.9 • FINE $1600000 • CEASE AND DESIST ORDER CFTC 10-21 • CFTC ADMINISTRATIVE ACTION 09/30/2010 • CEASE AND DESIST ORDER • FINE $780000 • DISGORGEMENT $618526 • OTHER (SEE NARRATIVE) • COMMISSION ORDER CFTC 08-12 • CFTC ADMINISTRATIVE ACTION 08/26/2008 • CEASE AND DESIST ORDER • COMMISSION ORDER • OTHER (SEE NARRATIVE) • FINE $310000 • COMPLAINT FILED CFTC 07-02 • CFTC ADMINISTRATIVE ACTION 01/10/2007 • CEASE AND DESIST ORDER • COMMISSION ORDER • OTHER (SEE NARRATIVE) • FINE $25000 • COMPLAINT FILED 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 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 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 12-CH-1205 • CLEARING PROCEDURES 12/17/2012 • 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 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