Regulatory Actions

PETER JAMES SCOTT NFA ID: 0307333

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 01MRA00001 • NFA GENERAL DISCIPLINARY ACTION 08/06/2001 • SUSPENDED FROM MEMBERSHIP • MEMBER RESPONSIBILITY ACTION NFA 01BCC00015 • SALES PRACTICE 12/27/2001 • PERMANENT BAR FROM NFA MEMBERSHIP CFTC SD 02-03   • COMMISSION ORDER • AP REGISTRATION REVOKED • OTHER (SEE NARRATIVE) • COMPLAINT FILED CFTC AMD 01CV2320 • CFTC INJUNCTIVE ACTION 12/17/2002 • CONTINGENT • OTHER (SEE NARRATIVE) • MAKE RESTITUTION TO CUSTMERS • FINE $7131865 NADX INQ.2010.008 • MEMBERSHIP DENIAL 12/23/2010 • BARRED/DENIED-EXCH MBRSHP PERM • NOT TO REAPPLY-EXCH MBRSHP PERM • COMPLETE TRADING AND ACCESS BAN PERM