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Regulatory Actions

TODD JAMES SNIVELY NFA ID: 0292459

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 • SALES PRACTICE
• GENERAL CONDUCT
09/10/2002 • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP
CFTC SD 03-05 01/13/2004 • ALJ DECISION
• AP REGISTRATION REVOKED
CFTC 02-40041 • CFTC INJUNCTIVE ACTION
03/10/2003 • FINE $360000
• PERMANENT INJUNCTION
• OTHER (SEE NARRATIVE)
• MAKE RESTITUTION TO CUSTMERS
• TRADING PROHIBITION
• PROTECT BOOKS
• STOP SOLICITING
• JOINT OWED
• FREEZE ASSETS
 
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