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NFA ID: 0309684
This page includes information regarding the
of these matters concerning the person or firm you are researching. It may also include the
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
, and for certain NFA cases, the decision as provided in the
summary, to see whether it was adjudicated or settled.
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