Regulatory Actions

JOHNSON DAVID G NFA ID: 0227714

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 01BCC00003 • SALES PRACTICE • GENERAL CONDUCT 06/14/2001 • PERMANENT BAR FROM NFA MEMBERSHIP CFTC SD 03-03 • CFTC ADMINISTRATIVE ACTION 05/02/2003 • AP REGISTRATION REVOKED • OTHER (SEE NARRATIVE) • IB REGISTRATION REVOKED • COMMISSION ORDER CFTC 1:00CV0300 • CFTC INJUNCTIVE ACTION 02/12/2003 • PROTECT BOOKS • DISGORGEMENT $150000 • OTHER (SEE NARRATIVE) • JOINT OWED • STOP SOLICITING • FREEZE ASSETS • MAKE RESTITUTION TO CUSTMERS • PERMANENT INJUNCTION • FINE $150000