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Regulatory Actions

JAMES ALEXANDER SHEPHERD NFA ID: 0198744

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 13MRA00002 • NFA GENERAL DISCIPLINARY ACTION
03/28/2013 • MEMBER RESPONSIBILITY ACTION
CFTC 13-CV-00370 • CFTC INJUNCTIVE ACTION
09/07/2016 • MAKE RESTITUTION TO CUSTMERS $8060810.43
• PERMANENT INJUNCTION
• FINE/CIVIL MONETARY PENALTY $7000000
• JOINT OWED
• OTHER (SEE NARRATIVE)
• COMPLAINT FILED
 
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