Regulatory Actions

JOHN EDWARD WALSH NFA ID: 0277351

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 08BCC00024 • FINANCIAL • SALES PRACTICE • OFFICE RECORDKEEPING • GENERAL CONDUCT 01/06/2009 • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP NFA 07BCC00017 • GENERAL CONDUCT 11/29/2007 • OTHER--SEE NARRATIVE CFTC 07C 7002 • CFTC INJUNCTIVE ACTION 02/18/2010 • FINE DELINQUENT • FINE $260000 • TRADING PROHIBITION • STOP SOLICITING • PERMANENT INJUNCTION • MAY NOT APPLY TO REGISTER • OTHER (SEE NARRATIVE) • PRELIMINARY INJUNCTION • PROTECT BOOKS • ACCESS BOOKS • FREEZE ASSETS • ACCOUNT ORDER