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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.
ContributorCase #Action TypeEffective DateCase 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
 
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