Regulatory Actions

VISION FINANCIAL MARKETS LLC NFA ID: 0208888

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 96BCC00018 • OFFICE RECORDKEEPING • GENERAL CONDUCT 07/03/1998 • OTHER--SEE NARRATIVE • FINE $75000 NFA 93BCC00010 • SALES PRACTICE • GENERAL CONDUCT 06/30/1993 • FINE $100000 • ENHANCED PROCEDURES REQUIRED • RESTRICTIONS ON ACTIVITIES 1 YRS • REPORT TO NFA NFA 11BCC00003 • GENERAL CONDUCT 06/02/2011 • OTHER--SEE NARRATIVE • FINE $500000 NFA 00BCC00005 • SALES PRACTICE 05/07/2002 • SUBMIT PROMOTIONAL MATERIAL TO NFA 3 YRS • FINE (JOINTLY AND SEVERALLY) $200000 • ON APPEAL - NFA APPEALS COMMITTEE • AFFIRMED ON APPEAL - APPEALS COMMITTEE CBOT RSRH-12-1213 • OFFICE RECORDKEEPING 04/29/2013 • FINE-SUMMARY $1250 CBOT 13-9229 • OFFICE RECORDKEEPING 02/04/2013 • FINE-SUMMARY $5000 CBOT 1206389CTRA • FLOOR RECORDKEEPING 04/18/2012 • FINE-SUMMARY $5000 CBOT 1105767CTRA • FLOOR RECORDKEEPING 06/08/2011 • FINE-SUMMARY $5000 CBOT 1004706CTRA • FLOOR RECORDKEEPING 06/10/2010 • FINE-SUMMARY $5000 CBOT 0903073CTRA • FLOOR RECORDKEEPING 02/12/2009 • FINE-SUMMARY $2500 CME RSRH-12-1212 • OFFICE RECORDKEEPING 04/29/2013 • FINE-SUMMARY $1250 CME 1208734CTRT • FLOOR RECORDKEEPING 08/07/2012 • FINE-SUMMARY $1500 CME 1208529CTRA • FLOOR RECORDKEEPING 04/18/2012 • FINE-SUMMARY $2500 CME 11-CH-1103 • CLEARING PROCEDURES 09/16/2011 • FINE-SUMMARY $50000 • FINE WAIVED $25000 CME 1006934CTRA • FLOOR RECORDKEEPING 06/10/2010 • FINE-SUMMARY $5000 CME 0905245CTRA • FLOOR RECORDKEEPING 02/12/2009 • FINE-SUMMARY $2500 CME 01-CH-0110 • CLEARING PROCEDURES 06/04/2010 • FINE-SUMMARY $50000 NYME 12-08767-BC - VISION FINANCIAL MKTS • TRADE PRACTICE 06/08/2012 • FINE PAID $15000