Regulatory Actions

RENAISSANCE ASSET MANAGEMENT NFA ID: 0357156

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 07MRA00001 • NFA GENERAL DISCIPLINARY ACTION 01/19/2007 • MEMBER RESPONSIBILITY ACTION • SUSPENDED FROM MEMBERSHIP INDF NFA 07BCC00023 • GENERAL CONDUCT • SALES PRACTICE • REGISTRATION • OFFICE RECORDKEEPING 10/03/2007 • PERMANENT BAR FROM NFA MEMBERSHIP CFTC 1:07-CV-0200 • CFTC INJUNCTIVE ACTION 02/13/2009 • FINE $5802058.13 • MAY NOT APPLY TO REGISTER • PERMANENT INJUNCTION • OTHER (SEE NARRATIVE) • TRADING PROHIBITION • STOP SOLICITING • JOINT OWED • DEFAULT ORDER • MAKE RESTITUTION TO CUSTMERS