Skip Navigation Links

Regulatory Actions

ATLANTAS GROUP INC NFA ID: 0366450

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 12BCC00023 • GENERAL CONDUCT
• SALES PRACTICE
• REGISTRATION
• OFFICE RECORDKEEPING
10/08/2012 • PERMANENT BAR FROM NFA MEMBERSHIP
• PERMANENT BAR FROM PRINCIPAL STATUS
• WITHDRAW FROM MEMBERSHIP
CFTC 16-23 • CFTC PROCEEDINGS
07/11/2016 • MAY NOT APPLY TO REGISTER
• CEASE AND DESIST ORDER
• JOINT OWED
• STOP SOLICITING
• MAKE RESTITUTION TO CUSTMERS $5000000
• FINE/CIVIL MONETARY PENALTY $2200000
• MAY NOT OPERATE AS PRINCIPAL
• TRADING PROHIBITION
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.