Regulatory Actions

SNC INVESTMENTS INC NFA ID: 0328909

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 09BCC00005 • GENERAL CONDUCT 07/09/2009 • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP NFA 08MRA00005 • NFA GENERAL DISCIPLINARY ACTION 10/30/2008 • SUSPENDED FROM MEMBERSHIP • MEMBER RESPONSIBILITY ACTION NFA 08BCC00010 • FINANCIAL • SALES PRACTICE • GENERAL CONDUCT 10/15/2008 • FINE $60000 CFTC CV 09 2555 • CFTC INJUNCTIVE ACTION 04/19/2012 • FINE DELINQUENT • OTHER (SEE NARRATIVE) • FINE $5000000 • JOINT OWED