Regulatory Actions

MF GLOBAL INC NFA ID: 0266826

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 CFTC 08-02 • CFTC ADMINISTRATIVE ACTION 12/26/2007 • CEASE AND DESIST ORDER • COMMISSION ORDER • OTHER (SEE NARRATIVE) • FINE $2000000 • MAY NOT APPLY TO REGISTER • COMPLAINT FILED CFTC 07-04 • CFTC ADMINISTRATIVE ACTION 02/20/2007 • CEASE AND DESIST ORDER • COMMISSION ORDER • MAKE RESTITUTION TO CUSTMERS • FINE $120000 • COMPLAINT FILED CBOT CBOT-07-ETI-06-BC • TRADE PRACTICE 12/12/2008 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • CEASE AND DESIST CBOT CBOT-07-73207-BC • TRADE PRACTICE 12/12/2008 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • CEASE AND DESIST CBOT CBOT-06-ETE-08-BC • TRADE PRACTICE 12/12/2008 • CEASE AND DESIST • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • FINE PAID $400000 CBOT 99-RFT-208 • FLOOR RECORDKEEPING 06/23/2000 • FINE $2500 CBOT 99-RFT-125 • FLOOR RECORDKEEPING 06/23/2000 • FINE $2500 CBOT 2006-INV-16 • TRADE PRACTICE 01/03/2007 • FINE $75000 CBOT 2002-INV-5 • OFFICE RECORDKEEPING 07/01/2002 • FINE $7500 CBOT 2001-INV-33C • GENERAL CONDUCT 07/01/2002 • FINE $25000 CBOT 2000-RRI-23 • OFFICE RECORDKEEPING • FINANCIAL POSITION AND REPORTING 04/16/2001 • FINE $5000 CBOT 2000-MSI-3 • GENERAL CONDUCT 03/16/2001 • FINE $500 CBOT 1004957CTRA • FLOOR RECORDKEEPING 03/04/2011 • FINE-SUMMARY $5000 CBOT 0903225CTRA • FLOOR RECORDKEEPING 05/22/2009 • FINE-SUMMARY $2500 CBOT 08-00119-BC • GENERAL CONDUCT • TRADE PRACTICE • OFFICE RECORDKEEPING 12/10/2009 • CEASE AND DESIST • FINE $495000 • FINE PAID $495000 CBOT 07-MSR-023B • GENERAL CONDUCT 12/21/2007 • FINE $2500 CBOT 06-RFT-021 • FLOOR RECORDKEEPING 01/22/2007 • FINE $1000 CBOT 06-MSI-35 • GENERAL CONDUCT 11/16/2006 • FINE $25000 CBOT 06-MSI-22 • GENERAL CONDUCT 11/16/2006 • LETTER REPRIMAND CBOT 05-RFT-060 • FLOOR RECORDKEEPING 05/31/2006 • FINE $3750 CBOT 05-RFT-026 • FLOOR RECORDKEEPING 06/23/2006 • FINE $5000 CBOT 04-RFT-039 • FLOOR RECORDKEEPING 11/11/2004 • FINE $2000 CBOT 03-RFT-032 • FLOOR RECORDKEEPING 04/19/2004 • FINE $5000 CBOT 02-RFT-100 • FLOOR RECORDKEEPING 05/28/2003 • FINE $2500 CBOT 02-RFT-050 • FLOOR RECORDKEEPING 10/25/2002 • FINE $1000 CBOT 01-RFT-109 • FLOOR RECORDKEEPING 07/31/2002 • FINE $1500 CBOT 01-RFT-044 • FLOOR RECORDKEEPING 03/20/2002 • FINE $2500 CBOT 01-MSI-48 • TRADE PRACTICE 05/09/2002 • FINE $30000 CBOT 00-RFT-210 • FLOOR RECORDKEEPING 07/26/2001 • FINE $1000 CEI 06-10 • TRADE PRACTICE 05/02/2007 • FINE $1500 • CEASE AND DESIST CME 1007243CTRA • FLOOR RECORDKEEPING 03/04/2011 • FINE-SUMMARY $5000 CME 0905376CTRA • FLOOR RECORDKEEPING 04/28/2009 • FINE-SUMMARY $2500 CME 0905365CTRA • FLOOR RECORDKEEPING 02/20/2009 • FINE-SUMMARY $2500 CME 0804866CTRT • FLOOR RECORDKEEPING 10/31/2008 • FINE-SUMMARY $1500 CME 0803011CTRT • FLOOR RECORDKEEPING 02/27/2008 • FINE-SUMMARY $1500 CME 0728135CTRT • FLOOR RECORDKEEPING 02/26/2007 • FINE-SUMMARY $10000 CME 0728018CTRT • FLOOR RECORDKEEPING 01/29/2007 • FINE-SUMMARY $5000 CME 0702413CTRA • FLOOR RECORDKEEPING 12/31/2007 • FINE-SUMMARY $1000 CME 0702409CTRA • FLOOR RECORDKEEPING 12/20/2007 • FINE-SUMMARY $1000 CME 0702407CTRA • FLOOR RECORDKEEPING 12/27/2007 • FINE-SUMMARY $2000 CME 0627946CTRA • FLOOR RECORDKEEPING 01/26/2007 • FINE-SUMMARY $1000 CME 0627937CTRA • FLOOR RECORDKEEPING 01/26/2007 • FINE-SUMMARY $1000 CME 0627936CTRA • FLOOR RECORDKEEPING 02/06/2007 • FINE-SUMMARY $1000 CME 0626654CTRT • FLOOR RECORDKEEPING 05/02/2006 • FINE $5000 CME 0626512CTRT • FLOOR RECORDKEEPING 03/27/2006 • FINE-SUMMARY $1500 CME 0526276MS • SPECULATIVE POSITION LIMIT 03/01/2006 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • CEASE AND DESIST CME 0526188CTRT • FLOOR RECORDKEEPING 01/04/2006 • FINE-SUMMARY $1500 CME 0526105BC • TRADE PRACTICE 08/22/2007 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • FINE $35000 CME 0525654BC • TRADE PRACTICE 08/22/2007 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • FINE $35000 CME 0322392BC • TRADE PRACTICE 08/27/2004 • FINE $20000 CME 0220929CTRA • FLOOR RECORDKEEPING 09/23/2002 • FINE $1000 CME 0119273BC • TRADE PRACTICE 03/31/2003 • FINE $7500 CME 0118903CTRA • FLOOR RECORDKEEPING 06/18/2001 • FINE $1000 CME 0017892CTRA • FLOOR RECORDKEEPING 10/09/2000 • FINE-SUSPENDED AMOUNT $1000 • FINE $2500 ICE 2010-055 • FLOOR RECORDKEEPING 11/04/2010 • FINE-SUMMARY $1000 ICE 2010-030 • FLOOR RECORDKEEPING 08/04/2010 • FINE-SUMMARY $500 ICE 2008-054;2008-060;2008-061 • FLOOR RECORDKEEPING 02/19/2009 • FINE-SUMMARY $250 ICE 2008-009 • FINANCIAL 01/22/2010 • FINE $25000 • CEASE AND DESIST MGE 07-I-04 • FINANCIAL POSITION AND REPORTING 05/29/2007 • FINE $250 MGE 06-I-09 • FINANCIAL POSITION AND REPORTING 08/02/2006 • FINE $500 NYBT 2005-056 • SPECULATIVE POSITION LIMIT 09/12/2005 • FINE $10000 • CEASE AND DESIST NYME 97-F110 • FLOOR RECORDKEEPING 03/20/1997 • FINE $500 NYME 97-F109 • FLOOR RECORDKEEPING 03/11/1997 • FINE $500 NYME 03-17 • FLOOR RECORDKEEPING 05/05/2004 • RESTITUTION TO CUSTOMER(S) $2170 • CEASE AND DESIST • FINE $10000 NYME 03-14 • FLOOR RECORDKEEPING 05/05/2004 • FINE $20000 • CEASE AND DESIST NYME 01-05 • TRADE PRACTICE 05/02/2001 • OTHER-SEE NARRATIVE OR DESCRIPTION IN NOTICE • FINE $10000 NYME 01-01NA • OFFICE RECORDKEEPING 03/02/2001 • FINE $138694.25