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Regulatory Actions

TODD OWEN MARSHALL NFA ID: 0284654

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 99BCC00014 • SALES PRACTICE
• GENERAL CONDUCT
07/20/2000 • REQUIRED TO TAPE RECORD 6 MTHS
• FINE $5000
NFA 07BCC00021 • SALES PRACTICE
• GENERAL CONDUCT
07/24/2008 • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS
• FINE $50000
• TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS
• TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS
• REQUIRED TO TAPE RECORD 1 YRS
CFTC 0:15-CV-62049 • CFTC INJUNCTIVE ACTION
05/17/2016 • MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• DISGORGEMENT $612892.01
• STOP SOLICITING
• MAY NOT OPERATE AS PRINCIPAL
• JOINT OWED
• DEFAULT ORDER
• TRADING PROHIBITION
• FINE/CIVIL MONETARY PENALTY $1838676.03
• COMPLAINT FILED
 
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