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Regulatory Actions

NEWEDGE FINANCIAL INC NFA ID: 0201812

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
CFTC 03-10 • CFTC ADMINISTRATIVE ACTION
04/22/2003 • FINE $75000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CBOT 99-RFT-120 • FLOOR RECORDKEEPING
08/19/1999 • FINE $1000
CBOT 98-RFT-177 • FLOOR RECORDKEEPING
08/19/1999 • FINE $1000
CBOT 98-RFT-077 • FLOOR RECORDKEEPING
11/23/1998 • FINE $1500
CBOT 97-RFT-177 • FLOOR RECORDKEEPING
05/04/1998 • FINE $500
CBOT 96-RRR-365 • FLOOR RECORDKEEPING
10/07/1997 • FINE $1000
CBOT 95-RRR-276 • FLOOR RECORDKEEPING
03/04/1996 • FINE $500
CBOT 94-RRR-360 • FLOOR RECORDKEEPING
05/10/1995 • FINE $250
CBOT 92-RRR-433 • FLOOR RECORDKEEPING
07/06/1993 • FINE $750
CBOT 92-RRR-268 • FLOOR RECORDKEEPING
11/09/1992 • FINE $500
CBOT 91-RRR-104 • FINANCIAL POSITION AND REPORTING
11/12/1991 • FINE $1000
CBOT 2004-INV-20 • TRADE PRACTICE
12/14/2004 • FINE $10000
CBOT 0802633CTRT • FLOOR RECORDKEEPING
10/31/2008 • FINE-SUMMARY $1500
CBOT 05-MSI-52 • GENERAL CONDUCT
02/01/2006 • FINE $2500
CBOT 04-RFT-038 • FLOOR RECORDKEEPING
03/16/2005 • FINE $1200
CBOT 03-RFT-082 • FLOOR RECORDKEEPING
04/19/2004 • FINE $750
CBOT 01-RFT-040 • FLOOR RECORDKEEPING
12/05/2001 • FINE $500
CEI 07-24 CALYON • TRADE PRACTICE
04/08/2008 • FINE $12500
• CEASE AND DESIST
CME 99CH9906 • FINANCIAL POSITION AND REPORTING
12/23/1999 • FINE $25000
CME 99CH9904 • CLEARING PROCEDURES
06/21/1999 • FINE-SUSPENDED AMOUNT $2000
• FINE $2000
CME 9917271BC • OFFICE RECORDKEEPING
12/10/2001 • FINE $2500
CME 98CH9802 • FINANCIAL
12/11/1998 • FINE $50000
CME 985941FP • TRADE PRACTICE
03/15/1999 • FINE $1000
CME 985443CTRT • FLOOR RECORDKEEPING
02/17/1998 • FINE $2500
CME 0803668CTRA • FLOOR RECORDKEEPING
06/30/2008 • FINE-SUMMARY $2500
CME 08-02780-BC • TRADE PRACTICE
11/20/2009 • FINE $15000
• FINE PAID $15000
CME 0423379CTRA • FLOOR RECORDKEEPING
03/16/2004 • FINE $1000
CME 0322279BC • TRADE PRACTICE
11/26/2004 • FINE $7500
CME 0220105CTRA • FLOOR RECORDKEEPING
03/18/2002 • FINE $1000
NYME 07-27 CALYON FINANCIAL INC. • TRADE PRACTICE
04/08/2008 • FINE $100000
• CEASE AND DESIST
NYME 07-12 • TRADE PRACTICE
09/19/2007 • CEASE AND DESIST
• FINE $10000
NYME 05-27 • GENERAL CONDUCT
12/05/2006 • FINE $7500
• CEASE AND DESIST
 
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