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Regulatory Actions

UNIVERSAL COMMODITY CORPORATION NFA ID: 0244735

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 95BCC00020 • SALES PRACTICE
• GENERAL CONDUCT
07/01/1997 • FINE $200000
• OTHER--SEE NARRATIVE
• ENHANCED PROCEDURES REQUIRED
• RESTRICTIONS ON ACTIVITIES
• REQUIRED TO TAPE RECORD
• SUBMIT PROMOTIONAL MATERIAL TO NFA
NFA 07BCC00047 • GENERAL CONDUCT
• SALES PRACTICE
• REGISTRATION
11/28/2008 • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
 
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