Regulatory Actions

WILLIAM PATRICK KELLY NFA ID: 0286392

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 10MRA00002 • NFA GENERAL DISCIPLINARY ACTION 03/08/2010 • MEMBER RESPONSIBILITY ACTION CFTC 12-12 • CFTC ADMINISTRATIVE ACTION   • FINE DELINQUENT • MAY NOT APPLY TO REGISTER • JOINT OWED • COMMISSION ORDER • MAY NOT OPERATE AS PRINCIPAL • TRADING PROHIBITION • OTHER (SEE NARRATIVE) • STOP SOLICITING • FINE $280000 • CEASE AND DESIST ORDER