Regulatory Actions

STOTLER AND COMPANY NFA ID: 0000853

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 90-18 • CFTC ADMINISTRATIVE ACTION 08/21/1990 • TRADING PRIVILEGES REVOKED • FCM REGISTRATION REVOKED • CEASE AND DESIST ORDER CFTC 80-7 • CFTC ADMINISTRATIVE ACTION 09/30/1986 • CEASE AND DESIST ORDER • FINE $10000 CBOT 90-INV-43 • TRADE PRACTICE 04/17/1991 • FINE $1000 CBOT 90-INV-09A • TRADE PRACTICE • FLOOR RECORDKEEPING 04/17/1991 • FINE $20000 CBOT 90-FIN-113 • GENERAL CONDUCT • FINANCIAL 09/10/1992 • OTHER ACTION CBOT 89-FIN-171 • OFFICE RECORDKEEPING 02/09/1990 • FINE $1000 CBOT 89-EX -48 • FINANCIAL • GENERAL CONDUCT • FINANCIAL POSITION AND REPORTING 09/10/1992 • OTHER ACTION CBOT 89-EX -177 • OFFICE RECORDKEEPING 06/19/1990 • FINE $5000 CBOT 89-EX -171 • OFFICE RECORDKEEPING 02/09/1990 • FINE $1000 CBOT 89-EX -130 • OFFICE RECORDKEEPING 01/08/1990 • FINE $1000 CBOT 89-EX -117 • OFFICE RECORDKEEPING 11/20/1989 • FINE $1000 CBOT 89-EX -113 • OFFICE RECORDKEEPING 11/20/1989 • FINE $1000 CBOT 88-EX -302 • OFFICE RECORDKEEPING 08/11/1989 • FINE $1000 CBOT 88-EX -275 • OFFICE RECORDKEEPING 08/11/1989 • FINE $1000 CBOT 88-EX -259 • OFFICE RECORDKEEPING 08/11/1989 • FINE $1000 CBOT 88-EX -253 • OFFICE RECORDKEEPING 04/10/1989 • FINE $1000 CBOT 88-EX -109 • OFFICE RECORDKEEPING 07/26/1988 • FINE $500 CBOT 88-EX -103 • OFFICE RECORDKEEPING 07/26/1988 • FINE $500 CBOT 88-EX -102 • OFFICE RECORDKEEPING 07/26/1988 • FINE $500 CBOT 87-EX -302 • OFFICE RECORDKEEPING 07/26/1988 • FINE $500 CBOT 87-EX -262 • OFFICE RECORDKEEPING 10/10/1989 • FINE $500