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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.
ContributorCase #Action TypeEffective DateCase 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
 
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