Regulatory Actions

CORNERSTONE CAPITAL MANAGEMENT LLC NFA ID: 0347927

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 07MRA00002 • NFA GENERAL DISCIPLINARY ACTION 01/23/2007 • SUSPENDED FROM MEMBERSHIP INDF • MEMBER RESPONSIBILITY ACTION NFA 07BCC00024 • SALES PRACTICE • GENERAL CONDUCT 01/29/2008 • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP • FINE (JOINTLY AND SEVERALLY) $200000 • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP CFTC 1:07-CV-0274 • CFTC INJUNCTIVE ACTION 08/30/2012 • SUPPLEMENTAL COURT ORDER • FINE $1430762.85 • MAKE RESTITUTION TO CUSTMERS • JOINT OWED • OTHER (SEE NARRATIVE) • TRADING PROHIBITION • STOP SOLICITING • PERMANENT INJUNCTION