Regulatory Actions

ACJ CAPITAL INC NFA ID: 0335629

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 09BCC00044 • SALES PRACTICE 02/18/2010 • PERMANENT BAR FROM PRINCIPAL STATUS • PERMANENT BAR FROM NFA MEMBERSHIP CFTC 12-CV-01083 • CFTC INJUNCTIVE ACTION 02/13/2013 • OTHER (SEE NARRATIVE) • MAY NOT APPLY TO REGISTER • STOP SOLICITING • MAKE RESTITUTION TO CUSTMERS • PERMANENT INJUNCTION • TRADING PROHIBITION • FINE $750000 • JOINT OWED • MAY NOT OPERATE AS PRINCIPAL CFTC 11-CV-01419 • CFTC INJUNCTIVE ACTION 03/23/2012 • MAKE RESTITUTION TO CUSTMERS • PERMANENT INJUNCTION • TRADING PROHIBITION • JOINT OWED • OTHER (SEE NARRATIVE) • DISGORGEMENT $555590 • MAY NOT OPERATE AS PRINCIPAL • MAY NOT APPLY TO REGISTER • FINE $1666770 • STOP SOLICITING