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Regulatory Actions

VISION FINANCIAL MARKETS LLC NFA ID: 0208888

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 96BCC00018 • OFFICE RECORDKEEPING
• GENERAL CONDUCT
07/03/1998 • OTHER--SEE NARRATIVE
• FINE $75000
NFA 93BCC00010 • SALES PRACTICE
• GENERAL CONDUCT
06/30/1993 • FINE $100000
• ENHANCED PROCEDURES REQUIRED
• RESTRICTIONS ON ACTIVITIES 1 YRS
• REPORT TO NFA
NFA 13BCC00018 • OFFICE RECORDKEEPING
• GENERAL CONDUCT
07/07/2014 • FINE $1500000
• WITHDRAW FROM MEMBERSHIP
• OTHER--SEE NARRATIVE
NFA 11BCC00003 • GENERAL CONDUCT
06/02/2011 • OTHER--SEE NARRATIVE
• FINE $500000
NFA 00BCC00005 • SALES PRACTICE
05/07/2002 • SUBMIT PROMOTIONAL MATERIAL TO NFA 3 YRS
• FINE (JOINTLY AND SEVERALLY) $200000
• ON APPEAL - NFA APPEALS COMMITTEE
• AFFIRMED ON APPEAL - APPEALS COMMITTEE
CFTC 13-39 • CFTC ADMINISTRATIVE ACTION
09/27/2013 • FINE $525000
• CEASE AND DESIST ORDER
• DETAILS UNAVAILABLE
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
CFTC 13-36 • CFTC ADMINISTRATIVE ACTION
09/24/2013 • FINE $140000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CBOT RSRH-12-1213 • OFFICE RECORDKEEPING
04/29/2013 • FINE-SUMMARY $1250
CBOT 14-7877 • OFFICE RECORDKEEPING
03/20/2014 • FINE-SUMMARY $2500
CBOT 13-9229 • OFFICE RECORDKEEPING
02/04/2013 • FINE-SUMMARY $5000
CBOT 13-7782-CTRA • FLOOR RECORDKEEPING
01/30/2014 • FINE-SUMMARY $5000
CBOT 13-7684 • OFFICE RECORDKEEPING
04/11/2014 • FINE-SUMMARY $5000
CBOT 1206389CTRA • FLOOR RECORDKEEPING
04/18/2012 • FINE-SUMMARY $5000
CBOT 1105767CTRA • FLOOR RECORDKEEPING
06/08/2011 • FINE-SUMMARY $5000
CBOT 1004706CTRA • FLOOR RECORDKEEPING
06/10/2010 • FINE-SUMMARY $5000
CBOT 0903073CTRA • FLOOR RECORDKEEPING
02/12/2009 • FINE-SUMMARY $2500
CEI 14-7877 • OFFICE RECORDKEEPING
03/20/2014 • FINE-SUMMARY $500
CME RSRH-12-1212 • OFFICE RECORDKEEPING
04/29/2013 • FINE-SUMMARY $1250
CME 14-7877 • OFFICE RECORDKEEPING
03/20/2014 • FINE-SUMMARY $1500
CME 13-7684 • OFFICE RECORDKEEPING
04/11/2014 • FINE-SUMMARY $5000
CME 1208734CTRT • FLOOR RECORDKEEPING
08/07/2012 • FINE-SUMMARY $1500
CME 1208529CTRA • FLOOR RECORDKEEPING
04/18/2012 • FINE-SUMMARY $2500
CME 11-CH-1103 • CLEARING PROCEDURES
09/16/2011 • FINE WAIVED $25000
• FINE-SUMMARY $50000
CME 1006934CTRA • FLOOR RECORDKEEPING
06/10/2010 • FINE-SUMMARY $5000
CME 0905245CTRA • FLOOR RECORDKEEPING
02/12/2009 • FINE-SUMMARY $2500
CME 01-CH-0110 • CLEARING PROCEDURES
06/04/2010 • FINE WAIVED $25000
• FINE-SUMMARY $50000
ICE 2014-069 • OFFICE RECORDKEEPING
08/27/2014 • FINE-SUMMARY $1000
ICE 2013-051O • OFFICE RECORDKEEPING
04/08/2015 • FINE-SUMMARY $2500
NYME 14-7877 • OFFICE RECORDKEEPING
03/20/2014 • FINE-SUMMARY $500
NYME 12-08767-BC - VISION FINANCIAL MKTS • TRADE PRACTICE
06/08/2012 • FINE PAID $15000
 
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