Regulatory Actions

STEVEN JOHN BREWER NFA ID: 0246323

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 09BCC00014 • GENERAL CONDUCT 04/30/2010 • SUSPENDED FROM MEMBERSHIP INDF • FINE (JOINTLY AND SEVERALLY) $100000 • OTHER--SEE NARRATIVE NFA 06BCC00008 • GENERAL CONDUCT 04/02/2007 • FINE (JOINTLY AND SEVERALLY) $45000 • OTHER--SEE NARRATIVE • SUBMIT PROMOTIONAL MATERIAL TO NFA INDF NFA 03BCC00039 • GENERAL CONDUCT 01/05/2004 • RESTRICTIONS ON ACTIVITIES • FINE (JOINTLY AND SEVERALLY) $30000