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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.

ContributorCase #Action TypeEffective DateCase Outcome
NFA 09BCC00022 • SALES PRACTICE
• GENERAL CONDUCT
08/12/2009 • OTHER--SEE NARRATIVE
• FINE (JOINTLY AND SEVERALLY) $225000
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 • CEASE AND DESIST ORDER
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• FINE $200000
• COMPLAINT FILED
 
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