Regulatory Actions

ROBERT EVERETT JR PARKER NFA ID: 0245544

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 99BCC00005 • SALES PRACTICE 11/29/1999 • SUBMIT PROMOTIONAL MATERIAL TO NFA 1 YRS • FINE (JOINTLY AND SEVERALLY) $75000 NFA 08BCC00009 • GENERAL CONDUCT 12/31/2008 • FINE $100000 • TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 5 YRS • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP