Regulatory Actions

SPENCER KIMBLE MONTGOMERY NFA ID: 0271838

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 12BCC00007 • SALES PRACTICE 07/05/2012 • FINE (CONTINGENT) $20000 • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP • TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS CFTC 12 CV 1832 • CFTC INJUNCTIVE ACTION 03/19/2013 • OTHER (SEE NARRATIVE) • MAY NOT APPLY TO REGISTER • MAY NOT OPERATE AS PRINCIPAL • FINE $140000 • STOP SOLICITING • TRADING PROHIBITION • PERMANENT INJUNCTION