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Regulatory Actions

INTERACTIVE BROKERS LLC NFA ID: 0258600

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 13BCC00008 • FINANCIAL
07/22/2013 • OTHER--SEE NARRATIVE
NFA 12BCC00032 • GENERAL CONDUCT
07/22/2013 • FINE $300000
• ENHANCED PROCEDURES REQUIRED
• OTHER--SEE NARRATIVE
NFA 06BCC00010 • OFFICE RECORDKEEPING
• GENERAL CONDUCT
06/13/2007 • FINE $125000
CFTC 13-19 • CFTC ADMINISTRATIVE ACTION
04/09/2013 • FINE $225000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CFTC 12-27 • CFTC ADMINISTRATIVE ACTION
07/25/2012 • FINE $700000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CFTC 07-07 • CFTC ADMINISTRATIVE ACTION
07/17/2007 • CEASE AND DESIST ORDER
• OTHER (SEE NARRATIVE)
• COMMISSION ORDER
• COMPLAINT FILED
• DISGORGEMENT $175000
ICE 2012-065A • FLOOR RECORDKEEPING
10/10/2013 • FINE PAID $3000
 
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