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Regulatory Actions

VICTOR EUGENE CILLI NFA ID: 0375945

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 08MRA00003 • NFA GENERAL DISCIPLINARY ACTION
06/06/2008 • MEMBER RESPONSIBILITY ACTION
NFA 08BCC00019 • GENERAL CONDUCT
02/23/2009 • FINE $10000
• TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS INDF
• TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP INDF
CFTC SD 12-09 • CFTC ADMINISTRATIVE ACTION
02/07/2013 • REGISTRATION REVOKED
• DEFAULT ORDER
• ALJ DECISION
• OTHER (SEE NARRATIVE)
CFTC 2:11-CV-03445 • CFTC INJUNCTIVE ACTION
05/29/2012 • FINE DELINQUENT
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• OTHER (SEE NARRATIVE)
• STOP SOLICITING
• JOINT OWED
• TRADING PROHIBITION
• MAY NOT OPERATE AS PRINCIPAL
• FINE $474000
• MAKE RESTITUTION TO CUSTMERS
 
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