Skip Navigation Links

Regulatory Actions

CAPITAL BLU MANAGEMENT LLC NFA ID: 0381906

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 09BCC00018 • GENERAL CONDUCT
10/01/2009 • PERMANENT BAR FROM PRINCIPAL STATUS
• PERMANENT BAR FROM NFA MEMBERSHIP
NFA 08MRA00004 • NFA GENERAL DISCIPLINARY ACTION
09/16/2008 • MEMBER RESPONSIBILITY ACTION
• SUSPENDED FROM MEMBERSHIP
CFTC 6:09-CV-508 • CFTC INJUNCTIVE ACTION
06/09/2011 • FINE DELINQUENT
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• OTHER (SEE NARRATIVE)
• STOP SOLICITING
• JOINT OWED
• DEFAULT ORDER
• TRADING PROHIBITION
• FINE $
• MAKE RESTITUTION TO CUSTMERS
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.