Regulatory Actions

LIBERTY REAL ASSETS INVESTMENT CORPORATION NFA ID: 0321167

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 CFTC SD 08-02 • CFTC ADMINISTRATIVE ACTION 04/21/2008 • OTHER (SEE NARRATIVE) • IB REGISTRATION REVOKED • ALJ DECISION CFTC 04-61235 • CFTC INJUNCTIVE ACTION 04/24/2007 • FINE $500000 • JOINT OWED • MAKE RESTITUTION TO CUSTMERS • TRADING PROHIBITION • PERMANENT INJUNCTION • STOP SOLICITING • OTHER (SEE NARRATIVE)