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Regulatory Actions

BACHUS & STRATTON COMMODITIES INC NFA ID: 0197022

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 92MRA00006 • NFA GENERAL DISCIPLINARY ACTION
08/03/1992 • RESTRICTIONS ON ACTIVITIES
• MEMBER RESPONSIBILITY ACTION
NFA 92BCC00015 • FINANCIAL
• SALES PRACTICE
• GENERAL CONDUCT
11/11/1993 • FINE $250000
• EXPELLED FROM MEMBERSHIP
CFTC 94-2 • CFTC ADMINISTRATIVE ACTION
10/21/1993 • COMPLAINT FILED
• COMMISSION ORDER
• CPO REGISTRATION REVOKED
• FCM REGISTRATION REVOKED
CFTC 92-6427 • CFTC INJUNCTIVE ACTION
10/18/1993 • PRELIMINARY INJUNCTION
• COMPLAINT FILED
• PERMANENT INJUNCTION
 
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