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Regulatory Actions

ARISTA LLC NFA ID: 0429124

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 12MRA00003 • NFA GENERAL DISCIPLINARY ACTION
02/02/2012 • MEMBER RESPONSIBILITY ACTION
CFTC SD 14-01   • COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CFTC 12 CIV 9043 • CFTC INJUNCTIVE ACTION
12/03/2013 • FINE $1540000
• MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• OTHER (SEE NARRATIVE)
• MAY NOT OPERATE AS PRINCIPAL
• ACCESS BOOKS
• STOP SOLICITING
• JOINT OWED
• TRADING PROHIBITION
• MAKE RESTITUTION TO CUSTMERS
 
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