Regulatory Actions

SPIRIT INVESTMENTS INC NFA ID: 0349450

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 10MRA00005 • NFA GENERAL DISCIPLINARY ACTION 08/27/2010 • MEMBER RESPONSIBILITY ACTION CFTC 3:11-CV-00032 • CFTC INJUNCTIVE ACTION 10/13/2011 • OTHER (SEE NARRATIVE) • PERMANENT INJUNCTION • JOINT OWED • MAY NOT APPLY TO REGISTER • TRADING PROHIBITION • MAY NOT OPERATE AS PRINCIPAL • FINE $6813462.51 • STOP SOLICITING