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Regulatory Actions

ALARON TRADING CORPORATION NFA ID: 0223154

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 99BCC00004 • REGISTRATION
• GENERAL CONDUCT
12/02/1999 • OTHER--SEE NARRATIVE
• FINE $200000
NFA 95BCC00010 • FINANCIAL
• FINANCIAL POSITION AND REPORTING
• SALES PRACTICE
• OFFICE RECORDKEEPING
• GENERAL CONDUCT
04/18/1996 • ENHANCED PROCEDURES REQUIRED
• FINE $40000
CFTC 10-19 • CFTC ADMINISTRATIVE ACTION
09/30/2010 • FINE $260000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CFTC 08-10 • CFTC ADMINISTRATIVE ACTION
04/18/2008 • FINE $180000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• MAKE RESTITUTION TO CUSTMERS
• COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CME 0905791CTRT • FLOOR RECORDKEEPING
06/12/2009 • FINE-SUMMARY $10000
CME 0905351CTRT • FLOOR RECORDKEEPING
03/09/2009 • FINE-SUMMARY $5000
CME 0805009CTRT • FLOOR RECORDKEEPING
12/05/2008 • FINE-SUMMARY $1500
CME 07CH0002 • CLEARING PROCEDURES
06/06/2007 • FINE $200000
CME 0701999CTRA • FLOOR RECORDKEEPING
10/08/2007 • FINE-SUMMARY $2500
CME 0700905BC • TRADE PRACTICE
03/25/2008 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
CME 0627899MS • SPECULATIVE POSITION LIMIT
01/10/2007 • CEASE AND DESIST
CME 0627571CTRA • FLOOR RECORDKEEPING
10/20/2006 • FINE-SUMMARY $4500
CME 0626882BC • TRADE PRACTICE
03/25/2008 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE
CME 0626689BC • TRADE PRACTICE
03/25/2008 • FINE $75000
• RESTITUTION TO BROKER/TRADER $59720
• FINE PAID $75000
CME 0525745CTRA • FLOOR RECORDKEEPING
09/20/2005 • FINE-SUMMARY $1000
CME 03CH0301 • FINANCIAL
08/27/2004 • FINE-SUSPENDED AMOUNT $75000
• FINE $100000
CME 0322788CTRT • FLOOR RECORDKEEPING
12/02/2003 • FINE $5000
CME 0322397CTRA • FLOOR RECORDKEEPING
08/18/2003 • FINE $1000
CME 0321595CTRT • FLOOR RECORDKEEPING
01/27/2003 • FINE $1500
 
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