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Regulatory Actions

INTERNATIONAL FUTURES STRATEGISTS INC NFA ID: 0192218

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 90MRA00004 • NFA GENERAL DISCIPLINARY ACTION
06/26/1990 • RESTRICTIONS ON ACTIVITIES
• MEMBER RESPONSIBILITY ACTION
NFA 90MRA00002 • NFA GENERAL DISCIPLINARY ACTION
02/21/1990 • OTHER--SEE NARRATIVE
• REQUIRED TO TAPE RECORD
• MEMBER RESPONSIBILITY ACTION
NFA 90BCC00004 • NFA GENERAL DISCIPLINARY ACTION
• SALES PRACTICE
03/10/1994 • EXPELLED FROM MEMBERSHIP
NFA 88BCC00019 • NFA GENERAL DISCIPLINARY ACTION
11/28/1988 • FINE $22500
• CEASE AND DESIST
 
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