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Regulatory Actions

ANGUS JACKSON INC OF FLORIDA NFA ID: 0190396

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
NFA 10BCC00039 • REGISTRATION
• GENERAL CONDUCT
09/14/2012 • AFFIRMED ON APPEAL - APPEALS COMMITTEE
• ON APPEAL - NFA APPEALS COMMITTEE
• TEMPORARY SUSPENSION FROM NFA MEMBERSHIP 7 YRS
• TEMPORARY SUSPENSION FROM PRINCIPAL STATUS 7 YRS
• FINE (CONTINGENT) $25000
NFA 06BCC00041 • GENERAL CONDUCT
02/16/2007 • FINE $10000
CFTC 12-CV-60450 • CFTC INJUNCTIVE ACTION
  • COMPLAINT FILED
• OTHER (SEE NARRATIVE)
NYFE OT-9 • FLOOR RECORDKEEPING
09/30/1993 • FINE-SUMMARY $85
NYFE OT-8 • FLOOR RECORDKEEPING
06/30/1993 • FINE-SUMMARY $75
NYFE OT-6 • FLOOR RECORDKEEPING
09/30/1992 • FINE-SUMMARY $25
NYFE OT-5 • FLOOR RECORDKEEPING
03/31/1992 • FINE-SUMMARY $15
NYFE OT-4 • FLOOR RECORDKEEPING
12/31/1991 • FINE-SUMMARY $10
NYFE OT-3 • FLOOR RECORDKEEPING
09/30/1991 • FINE-SUMMARY $55
 
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