Regulatory Actions

EXECUTIVE COMMODITY CORP NFA ID: 0292976

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 04BCC00015 • FINANCIAL • SALES PRACTICE • OFFICE RECORDKEEPING • GENERAL CONDUCT 07/05/2006 • PERMANENT BAR FROM NFA MEMBERSHIP NFA 02BCC00018 • GENERAL CONDUCT • SALES PRACTICE • REGISTRATION 05/16/2003 • ENHANCED PROCEDURES REQUIRED 1 YRS • FINE (JOINTLY AND SEVERALLY) $60000 CFTC 06-60886 • CFTC INJUNCTIVE ACTION 02/21/2008 • FINE DELINQUENT • MAKE RESTITUTION TO CUSTMERS • PERMANENT INJUNCTION • OTHER (SEE NARRATIVE) • TRADING PROHIBITION • FINE $5000000 • STOP SOLICITING