Regulatory Actions

JOHN ANTHONY BYRNES NFA ID: 0212313

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 CACE 92-D17 • DECORUM AND ATTIRE 12/14/1992 • FINE $50 CSCE R00-08 • TRADE PRACTICE 09/11/2000 • FINE-SUMMARY $250 NYBT D-150-06 • TRADE PRACTICE 11/10/2006 • FINE-SUMMARY $100 NYBT 2003-069 • TRADE PRACTICE 07/12/2004 • FINE $5000 • CEASE AND DESIST NYBT 2002-156 • TRADE PRACTICE 10/22/2003 • CEASE AND DESIST • FINE $7000 NYCE 96-030 • FINANCIAL 07/15/1996 • CEASE AND DESIST • SUSPENDED FROM MEMBERSHIP • FINE $10000 NYCE 96-014 • FLOOR RECORDKEEPING 03/11/1996 • FINE $100 NYCE 96-007 • TRADE PRACTICE 02/20/1996 • FINE $100 NYCE 95-078 • FLOOR RECORDKEEPING 11/13/1995 • FINE $250 NYCE 93-024 • FLOOR RECORDKEEPING 02/08/1993 • FINE $50 NYCE 93-019 • FLOOR RECORDKEEPING 01/25/1993 • FINE $50 NYCE 93-016 • FLOOR RECORDKEEPING 02/08/1993 • FINE $50 NYCE 92-D18 • DECORUM AND ATTIRE 10/19/1992 • FINE $100 NYCE 92-054 • GENERAL CONDUCT 10/19/1992 • FINE $750