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Regulatory Actions

COMMERCIAL HEDGE SERVICES INC NFA ID: 0211307

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 04BCC00006 • GENERAL CONDUCT
• SALES PRACTICE
• REGISTRATION
03/27/2008 • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
CFTC 4:04CV3184 • CFTC INJUNCTIVE ACTION
12/17/2007 • FINE $100000
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• TRADING PROHIBITION 3 YRS
• MAKE RESTITUTION TO CUSTMERS
• JOINT OWED
• OTHER (SEE NARRATIVE)
 
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