Regulatory Actions

IFINIX FUTURES INC NFA ID: 0312871

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 11MRA00005 • NFA GENERAL DISCIPLINARY ACTION 08/18/2011 • MEMBER RESPONSIBILITY ACTION • SUSPENDED FROM MEMBERSHIP NFA 09BCC00017 • FINANCIAL • OFFICE RECORDKEEPING • GENERAL CONDUCT 11/17/2009 • FINE $17500 NFA 07BCC00008 • GENERAL CONDUCT • FINANCIAL 07/09/2007 • FINE $10000 CFTC CV 12 4843 • CFTC INJUNCTIVE ACTION   • OTHER (SEE NARRATIVE) • COMPLAINT FILED