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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.

ContributorCase #Action TypeEffective DateCase 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 SD 14-02   • COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CFTC CV 12 4843 • CFTC INJUNCTIVE ACTION
09/16/2013 • FINE $1260000
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• OTHER (SEE NARRATIVE)
• MAY NOT OPERATE AS PRINCIPAL
• JOINT OWED
• DEFAULT ORDER
• TRADING PROHIBITION
• STOP SOLICITING
 
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