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Regulatory Actions

LEVEL III TRADING LLC NFA ID: 0382256

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 13BCC00007 • GENERAL CONDUCT
02/28/2014 • PERMANENT BAR FROM PRINCIPAL STATUS
• PERMANENT BAR FROM NFA MEMBERSHIP
NFA 12MRA00005 • NFA GENERAL DISCIPLINARY ACTION
06/12/2012 • MEMBER RESPONSIBILITY ACTION
• SUSPENDED FROM MEMBERSHIP INDF
 
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