Regulatory Actions

CHICAGO TRADING MANAGERS LLC NFA ID: 0400661

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.

Contributor Case # Action Type Effective Date Case Outcome NFA 12BCC00007 • SALES PRACTICE • GENERAL CONDUCT 07/05/2012 • PERMANENT BAR FROM NFA MEMBERSHIP • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP • WITHDRAW FROM MEMBERSHIP CFTC 12 CV 1832 • CFTC INJUNCTIVE ACTION 05/15/2013 • FINE $1400000 • MAY NOT APPLY TO REGISTER • PERMANENT INJUNCTION • OTHER (SEE NARRATIVE) • MAY NOT OPERATE AS PRINCIPAL • JOINT OWED • DEFAULT ORDER • TRADING PROHIBITION • STOP SOLICITING