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.

Contributor Case # Action Type Effective Date Case 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 • COMMISSION ORDER • OTHER (SEE NARRATIVE) • FINE $260000 • CEASE AND DESIST ORDER CFTC 08-10 • CFTC ADMINISTRATIVE ACTION 04/18/2008 • CEASE AND DESIST ORDER • COMMISSION ORDER • OTHER (SEE NARRATIVE) • FINE $180000 • MAKE RESTITUTION TO CUSTMERS • COMPLAINT FILED 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