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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.
ContributorCase #Action TypeEffective DateCase Outcome
CFTC 08-02 • CFTC ADMINISTRATIVE ACTION
12/26/2007 • FINE $2000000
• MAY NOT APPLY TO REGISTER
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• COMPLAINT FILED
• CEASE AND DESIST ORDER
CFTC 07-04 • CFTC ADMINISTRATIVE ACTION
02/20/2007 • FINE $120000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• COMPLAINT FILED
• MAKE RESTITUTION TO CUSTMERS
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 • CEASE AND DESIST
• RESTITUTION TO CUSTOMER(S) $2170
• 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
 
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