Regulatory Actions

INTERBANK FX LLC NFA ID: 0326091

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 09BCC00022 • SALES PRACTICE • GENERAL CONDUCT 08/12/2009 • FINE (JOINTLY AND SEVERALLY) $225000 • OTHER--SEE NARRATIVE NFA 07BCC00010 • SALES PRACTICE • GENERAL CONDUCT 10/09/2007 • FINE $100000 NFA 06BCC00016 • FINANCIAL 09/14/2006 • FINE $25000 CFTC 09-11 • CFTC ADMINISTRATIVE ACTION 06/29/2009 • FINE $200000 • CEASE AND DESIST ORDER • COMMISSION ORDER • COMPLAINT FILED • OTHER (SEE NARRATIVE)