Regulatory Actions

CARGILL INVESTOR SERVICES INC NFA ID: 0001509

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 CBOT 99-RFT-116 • FLOOR RECORDKEEPING 10/20/1999 • FINE $1000 CBOT 98-RFT-173 • FLOOR RECORDKEEPING 07/23/1999 • FINE $2500 CBOT 98-RFT-073 • FLOOR RECORDKEEPING 11/23/1998 • FINE $2000 CBOT 98-MSI-10 • GENERAL CONDUCT 01/13/1999 • FINE $12000 CBOT 97-RFT-173 • FLOOR RECORDKEEPING 03/02/1998 • FINE $1000 CBOT 97-RFT-077 • FLOOR RECORDKEEPING 08/22/1997 • FINE $500 CBOT 95-RRR-254 • FLOOR RECORDKEEPING 02/05/1996 • FINE $500 CBOT 93-RRR-111I • FLOOR RECORDKEEPING 03/08/1994 • FINE $500 CBOT 91-B -02 • GENERAL CONDUCT 09/30/1991 • FINE $1000 CBOT 90-MSI-54 • GENERAL CONDUCT 11/05/1990 • LETTER REPRIMAND CBOT 89-INV-52 • GENERAL CONDUCT • TRADE PRACTICE • REGISTRATION • OFFICE RECORDKEEPING 04/02/1991 • FINE $15000 CBOT 88-EX -01 • OFFICE RECORDKEEPING 10/25/1988 • FINE $500 CBOT 2002-EX-30 • FINANCIAL 08/26/2003 • FINE $15000 CBOT 03-RFT-039 • FLOOR RECORDKEEPING 04/19/2004 • FINE $1000 CBOT 01-RFT-104 • FLOOR RECORDKEEPING 10/25/2002 • FINE $750 CBOT 00-RFT-056 • FLOOR RECORDKEEPING 04/11/2001 • FINE $1000 CME 92CH9207 • CLEARING PROCEDURES 06/29/1992 • FINE $2500 CSCE I91-17 • OFFICE RECORDKEEPING 09/23/1991 • FINE $1000 CSCE I89-83 • SPECULATIVE POSITION LIMIT • FINANCIAL POSITION AND REPORTING 04/03/1990 • FINE $1000 MGE 05-I-38 • FINANCIAL POSITION AND REPORTING 02/27/2006 • FINE $500 MGE 03I24/03I32 • FINANCIAL POSITION AND REPORTING 06/28/2004 • FINE $1000 MGE 03-I-17 • CLEARING PROCEDURES 11/21/2003 • FINE $500 MGE 00-I-37 • FINANCIAL POSITION AND REPORTING 10/08/2001 • FINE $2000 NYME TENDER#3 • GENERAL CONDUCT 10/08/1990 • FINE $15625