Regulatory Actions

JCC INC NFA ID: 0001612

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 NFA 90BCC00030 • SALES PRACTICE • GENERAL CONDUCT 08/25/1992 • FINE $250000 • EXPELLED FROM MEMBERSHIP NFA 87BCC00025 • NFA GENERAL DISCIPLINARY ACTION • SALES PRACTICE 03/09/1989 • OTHER--SEE NARRATIVE • FINE $100000 CFTC 89-4 • CFTC ADMINISTRATIVE ACTION 05/12/1994 • FINE $50000 • RESPONDENT APPEAL • ALJ ORDER • FCM REGISTRATION REVOKED • COMMISSION ORDER • COMPLAINT FILED CFTC 83-43 • CFTC ADMINISTRATIVE ACTION 04/09/1993 • RESPONDENT APPEAL • FCM REGISTRATION REVOKED • COMPLAINT FILED