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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.

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