Regulatory Actions

RISK CAPITAL TRADING GROUP INC NFA ID: 0306322

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
NFA 02BCC00015 • GENERAL CONDUCT
• SALES PRACTICE
• REGISTRATION
• OFFICE RECORDKEEPING
06/20/2003 • SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
• FINE (JOINTLY AND SEVERALLY) $45000
• ENHANCED PROCEDURES REQUIRED 18 MTHS
• REQUIRED TO TAPE RECORD 18 MTHS
CFTC SD 06-04 • CFTC ADMINISTRATIVE ACTION
12/20/2006 • IB REGISTRATION REVOKED
• ALJ ORDER
• DEFAULT ORDER
• COMPLAINT FILED
• OTHER (SEE NARRATIVE)
CFTC 1 03 CV-2633 • CFTC INJUNCTIVE ACTION
06/29/2006 • FINE $8771235
• PERMANENT INJUNCTION
• TRADING PROHIBITION
• MAKE RESTITUTION TO CUSTMERS
• STOP SOLICITING
• OTHER (SEE NARRATIVE)