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Regulatory Actions

FUTUREWISE TRADING GROUP INC NFA ID: 0292458

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 02MRA00001 • NFA GENERAL DISCIPLINARY ACTION
02/06/2002 • MEMBER RESPONSIBILITY ACTION
• SUSPENDED FROM MEMBERSHIP
NFA 02BCC00013 • GENERAL CONDUCT
• SALES PRACTICE
• OFFICE RECORDKEEPING
09/10/2002 • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
CFTC SD 03-06 • CFTC ADMINISTRATIVE ACTION
01/13/2004 • OTHER (SEE NARRATIVE)
• IB REGISTRATION REVOKED
• ALJ DECISION
• CTA REGISTRATION REVOKED
• CPO REGISTRATION REVOKED
CFTC 02-40041 • CFTC INJUNCTIVE ACTION
03/10/2003 • TRADING PROHIBITION
• OTHER (SEE NARRATIVE)
• MAKE RESTITUTION TO CUSTMERS
• PROTECT BOOKS
• STOP SOLICITING
• JOINT OWED
• PERMANENT INJUNCTION
• FREEZE ASSETS
 
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