Regulatory Actions

WALLACE NEAL JORDAN NFA ID: 0095007

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 06MRA00002 • NFA GENERAL DISCIPLINARY ACTION 07/10/2006 • APPEAL DISMISSED • ON APPEAL - CFTC • PETITION FOR STAY FILED • SUSPENDED FROM MEMBERSHIP • MEMBER RESPONSIBILITY ACTION NFA 06BCC00038 • GENERAL CONDUCT 11/10/2008 • AFFIRMED ON APPEAL - CFTC • ON APPEAL - CFTC • AFFIRMED ON APPEAL - APPEALS COMMITTEE • PENALTY STAYED - ON APPEAL • ON APPEAL - NFA APPEALS COMMITTEE • FINE (JOINTLY AND SEVERALLY) $10000 • SUSPENDED FROM MEMBERSHIP 10 YRS • TEMPORARY BAR FROM PRINCIPAL STATUS 10 YRS