Regulatory Actions

HOWARD KEITH MALMAN NFA ID: 0193293

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 11BCC00041 • GENERAL CONDUCT 05/14/2012 • OTHER--SEE NARRATIVE • FINE (JOINTLY AND SEVERALLY) $100000 CME 963937CTRB • FLOOR RECORDKEEPING 04/08/1996 • FINE $1000 CME 963835CTRB • FLOOR RECORDKEEPING 01/29/1996 • FINE-SUSPENDED AMOUNT $500 • FINE $1000 CME 942760CTR • FLOOR RECORDKEEPING 10/06/1994 • FINE-SUSPENDED AMOUNT $2500 • FINE $3500