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Regulatory Actions

INDEX FUTURES GROUP INC NFA ID: 0090499

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 92-28 • CFTC ADMINISTRATIVE ACTION
04/05/1994 • FINE $100000
• COMMISSION ORDER
• COMPLAINT FILED
• CEASE AND DESIST ORDER
CBOT 94-RRR-309 • FLOOR RECORDKEEPING
02/23/1995 • FINE $250
CBOT 93-RRR-220 • FLOOR RECORDKEEPING
08/30/1993 • FINE $250
CBOT 93-RRR-108A • FLOOR RECORDKEEPING
11/21/1994 • FINE $1000
CBOT 93-RRR-103 • FLOOR RECORDKEEPING
08/02/1993 • FINE $500
CBOT 92-RRR-108 • FLOOR RECORDKEEPING
01/19/1993 • FINE $100
CBOT 88-INV-36 • TRADE PRACTICE
05/02/1989 • LETTER REPRIMAND
CSCE I95-75 • OFFICE RECORDKEEPING
12/21/1995 • FINE $2500
NYCE 95-054 • FLOOR RECORDKEEPING
09/25/1995 • FINE $500
NYCE 92-045 • FLOOR RECORDKEEPING
09/21/1992 • FINE $250
 
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