Regulatory Actions

THOMAS PAUL WAYNE NFA ID: 0239002

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 95BCC00005 • SALES PRACTICE • GENERAL CONDUCT 10/29/1998 • FINE (JOINTLY AND SEVERALLY) $120000 NFA 08BCC00025 • SALES PRACTICE • GENERAL CONDUCT 03/05/2009 • FINE $25000 • TEMPORARY BAR FROM PRINCIPAL STATUS 2 YRS • TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 2 YRS