Regulatory Actions

PARON CAPITAL MANAGEMENT LLC NFA ID: 0422876

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Case # Action Type Effective Date Case Outcome NFA 11REG00012 • NFA REGISTRATION ACTION 05/31/2011 • CHARGES WITHDRAWN NFA 11MRA00002 • NFA GENERAL DISCIPLINARY ACTION 09/15/2011 • MRA TERMINATED • MEMBER RESPONSIBILITY ACTION CFTC CV 11 4577 • CFTC INJUNCTIVE ACTION   • COMPLAINT FILED • OTHER (SEE NARRATIVE)