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Regulatory Actions

FXDIRECTDEALER LLC NFA ID: 0397435

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 14BCC00017 • GENERAL CONDUCT
• FINANCIAL
12/23/2014 • OTHER--SEE NARRATIVE
• FINE $500000
NFA 12MRA00009 • NFA GENERAL DISCIPLINARY ACTION
12/07/2012 • MEMBER RESPONSIBILITY ACTION
NFA 12BCC00030 • GENERAL CONDUCT
10/03/2013 • OTHER--SEE NARRATIVE
• FINE $1095119
NFA 12BCC00021 • OFFICE RECORDKEEPING
• GENERAL CONDUCT
10/03/2013 • OTHER--SEE NARRATIVE
• FINE $1095119
CFTC 14-28 • CFTC ADMINISTRATIVE ACTION
09/24/2014 • FINE $600000
• MAY NOT APPLY TO REGISTER
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CFTC 13-42 09/30/2013 • FINE $275000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
CFTC 13-34 • CFTC ADMINISTRATIVE ACTION
09/18/2013 • FINE $914131
• COMPLAINT FILED
• MAKE RESTITUTION TO CUSTMERS
• CEASE AND DESIST ORDER
 
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