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Regulatory Actions

ABN AMRO CLEARING CHICAGO LLC NFA ID: 0001467

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 13-25 • CFTC ADMINISTRATIVE ACTION
06/18/2013 • FINE $1000000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CBOT 98-RFT-015 • FLOOR RECORDKEEPING
07/15/1998 • FINE $500
CBOT 97-RFT-019 • FLOOR RECORDKEEPING
06/20/1997 • FINE $500
CBOT 95-RRR-328 • FLOOR RECORDKEEPING
03/04/1996 • FINE $500
CBOT 95-RRR-219 • FLOOR RECORDKEEPING
10/23/1995 • FINE $250
CBOT 93-RRR-227 • FLOOR RECORDKEEPING
08/11/1993 • FINE $250
CBOT 91-RRR-246 • FLOOR RECORDKEEPING
11/04/1991 • FINE $1000
CBOT 90-RRR-228 • OFFICE RECORDKEEPING
04/09/1990 • FINE $2000
CBOT 90-EX -24 • OFFICE RECORDKEEPING
• GENERAL CONDUCT
02/19/1991 • FINE $3500
CBOT 89-RRR-245 • OFFICE RECORDKEEPING
01/17/1990 • FINE $1000
CBOT 2007-INV-13 • TRADE PRACTICE
09/17/2007 • FINE $7000
CBOT 15-8504 • OFFICE RECORDKEEPING
08/06/2015 • FINE-SUMMARY $1500
CBOT 14-8149 • OFFICE RECORDKEEPING
12/29/2014 • FINE-SUMMARY $1000
CBOT 13-9591 • OFFICE RECORDKEEPING
10/06/2014 • FINE-SUMMARY $5000
CBOT 13-7807 • OFFICE RECORDKEEPING
04/25/2014 • FINE-SUMMARY $1000
CBOT 12-CH-1209 • CLEARING PROCEDURES
03/08/2013 • FINE-SUMMARY $30000
CBOT 12-8726-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $3920
• FINE $3920
CBOT 12-7429-BC • TRADE PRACTICE
05/30/2014 • FINE PAID $5000
• FINE $5000
CBOT 1106029CTRA • FLOOR RECORDKEEPING
10/14/2011 • FINE-SUMMARY $2500
CBOT 0801842CTRT • FLOOR RECORDKEEPING
07/28/2008 • FINE-SUMMARY $5000
CBOT 0801207CTRT • FLOOR RECORDKEEPING
06/30/2008 • FINE-SUMMARY $1500
CBOT 06-TPR-77-BC • TRADE PRACTICE
07/21/2008 • FINE $5000
• FINE PAID $5000
CBOT 06-RFT-037 • FLOOR RECORDKEEPING
03/08/2007 • FINE $2000
CBOT 06-RFT-006 • FLOOR RECORDKEEPING
11/22/2006 • FINE $1500
CBOT 06-MSI-046 • FINANCIAL POSITION AND REPORTING
06/06/2007 • FINE $35000
CBOT 06-EX-028 • FINANCIAL
06/27/2007 • FINE $5000
CBOT 05-RFT-056 • FLOOR RECORDKEEPING
04/11/2006 • FINE $1500
CBOT 04-RFT-004 • FLOOR RECORDKEEPING
09/27/2004 • FINE $1000
CBOT 03-RFT-059 • FLOOR RECORDKEEPING
04/19/2004 • FINE $1500
CBOT 03-RFT-011 • FLOOR RECORDKEEPING
10/20/2003 • FINE $1000
CBOT 00-RFT-098 • FLOOR RECORDKEEPING
02/08/2001 • FINE $1000
CBOT 00-RFT-022 • FLOOR RECORDKEEPING
09/13/2000 • FINE $500
CEI 15-8504 • OFFICE RECORDKEEPING
08/06/2015 • FINE-SUMMARY $1000
CEI 12-7431-BC ABN AMRO CLEARING CHICAGO • TRADE PRACTICE
05/30/2014 • FINE PAID $700
CME 15-8504 • OFFICE RECORDKEEPING
08/06/2015 • FINE-SUMMARY $1000
CME 14-8149 • OFFICE RECORDKEEPING
12/29/2014 • FINE-SUMMARY $1500
CME 13-9528-BC • TRADE PRACTICE
12/30/2015 • FINE $25000
CME 13-7807 • OFFICE RECORDKEEPING
04/25/2014 • FINE-SUMMARY $1000
CME 12-8726-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $5880
• FINE $5880
CME 12-7427-BC • TRADE PRACTICE
05/30/2014 • FINE PAID $7700
• FINE $7700
CME 1108266CTRT • FLOOR RECORDKEEPING
09/30/2011 • FINE-SUMMARY $1500
CME 1108128CTRA • FLOOR RECORDKEEPING
10/14/2011 • FINE-SUMMARY $5000
CME 1007755CTRA • FLOOR RECORDKEEPING
03/03/2011 • FINE-SUMMARY $2500
CME 08-04731-CTRA-BC • TRADE PRACTICE
06/02/2011 • FINE $25000
• FINE PAID $25000
CME 0700944CTRA • FLOOR RECORDKEEPING
06/19/2007 • FINE $4500
CME 0700940CTRA • FLOOR RECORDKEEPING
06/19/2007 • FINE-SUMMARY $1000
CME 0700937CTRA • FLOOR RECORDKEEPING
06/26/2007 • FINE-SUMMARY $2000
CME 0700381CTRT • FLOOR RECORDKEEPING
03/27/2007 • FINE-SUMMARY $1500
CME 0626985CTRA • FLOOR RECORDKEEPING
07/06/2006 • FINE-SUMMARY $1000
CME 0322509CTRA • FLOOR RECORDKEEPING
09/03/2003 • FINE $1000
ICE 2015-134C • OFFICE RECORDKEEPING
06/27/2016 • FINE-SUMMARY $2000
ICE 2014-108C • OFFICE RECORDKEEPING
01/08/2015 • FINE-SUMMARY $1000
ICE 2014-069 • OFFICE RECORDKEEPING
09/04/2014 • FINE-SUMMARY $1000
ICE 2013-051P • OFFICE RECORDKEEPING
04/08/2015 • FINE-SUMMARY $2500
ICE 2012-087 • OFFICE RECORDKEEPING
03/06/2014 • FINE PAID $20000
• CEASE AND DESIST
ICE 2012-004 • FLOOR RECORDKEEPING
10/10/2013 • FINE PAID $5000
ICE 2011-045 • TRADE PRACTICE
10/19/2012 • FINE-SUMMARY $5000
MGE 15-I-26 • OFFICE RECORDKEEPING
12/17/2015 • FINE PAID $3000
MGE 14-I-03 • FINANCIAL POSITION AND REPORTING
04/08/2014 • WARNING LETTER
MGE 11-I-09 • TRADE PRACTICE
12/05/2011 • FINE $25000
NYME 15-8504 • OFFICE RECORDKEEPING
08/06/2015 • FINE-SUMMARY $1500
NYME 13-7807 • OFFICE RECORDKEEPING
04/25/2014 • FINE-SUMMARY $500
NYME 12-8726-BC ABN AMRO CLEARING CHICAGO • TRADE PRACTICE
10/30/2014 • FINE PAID $4200
NYME 12-7430-BC ABN AMRO CLEARING CHICAGO • TRADE PRACTICE
05/30/2014 • FINE PAID $6600
NYME 12-09160-BC ABN AMRO CLRING CHICAGO • TRADE PRACTICE
04/25/2013 • FINE $70000
NYME 12-08893-BC - ABN AMRO CLEARING • TRADE PRACTICE
08/16/2012 • FINE PAID $25000
 
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