Regulatory Actions

US SECURITIES & FUTURES CORP NFA ID: 0251030

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
CFTC 03 CV 2258 • CFTC INJUNCTIVE ACTION
04/02/2003 • OTHER (SEE NARRATIVE)
• FREEZE ASSETS
• TEMPORARY RESTRAINING ORDER
• ACCESS BOOKS
• ACCOUNT ORDER
• PROTECT BOOKS
CFTC 01-01 • CFTC ADMINISTRATIVE ACTION
07/25/2003 • REGISTRATION REVOKED
• FINE $2052680
• CEASE AND DESIST ORDER
• TRADING PROHIBITION 10 YRS
• OTHER (SEE NARRATIVE)
• COMMISSION ORDER
• RESPONDENT APPEAL
• ALJ DECISION