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.

Contributor Case # Action Type Effective Date Case 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