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Regulatory Actions

FOREX LIQUIDITY LLC NFA ID: 0362216

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 08BCC00023 • FINANCIAL
• SALES PRACTICE
• OFFICE RECORDKEEPING
• GENERAL CONDUCT
 
NFA 07MRA00013 • NFA GENERAL DISCIPLINARY ACTION
12/04/2007 • MEMBER RESPONSIBILITY ACTION
CFTC SACV 07-1437-CJC • CFTC INJUNCTIVE ACTION
04/19/2012 • FINE DELINQUENT
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• STOP SOLICITING
• TRADING PROHIBITION
• MAY NOT OPERATE AS PRINCIPAL
• FINE $400000
• OTHER (SEE NARRATIVE)
 
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