Skip Navigation Links

Regulatory Actions

ONE WORLD CAPITAL GROUP NFA ID: 0359973

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 08BCC00024 • FINANCIAL
• SALES PRACTICE
• OFFICE RECORDKEEPING
• GENERAL CONDUCT
01/06/2009 • PERMANENT BAR FROM NFA MEMBERSHIP
NFA 07MRA00012 • NFA GENERAL DISCIPLINARY ACTION
11/30/2007 • MEMBER RESPONSIBILITY ACTION
NFA 07BCC00017 • FINANCIAL
• SALES PRACTICE
• GENERAL CONDUCT
11/29/2007 • OTHER--SEE NARRATIVE
• FINE $100000
CFTC SD 10-01 • CFTC ADMINISTRATIVE ACTION
03/04/2010 • OTHER (SEE NARRATIVE)
• COMPLAINT FILED
• COMMISSION ORDER
• CTA REGISTRATION REVOKED
• FCM REGISTRATION REVOKED
CFTC 07C 7002 • CFTC INJUNCTIVE ACTION
02/18/2010 • FINE DELINQUENT
• TRADING PROHIBITION
• PERMANENT INJUNCTION
• STOP SOLICITING
• FINE $260000
• OTHER (SEE NARRATIVE)
• MAY NOT APPLY TO REGISTER
• ACCOUNT ORDER
• ACCESS BOOKS
• PROTECT BOOKS
• PRELIMINARY INJUNCTION
• FREEZE ASSETS
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.