Regulatory Actions

NORD CAPITAL ADVISORS LLC NFA ID: 0431852

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 15BCC00030 • GENERAL CONDUCT
11/11/2015 • PERMANENT BAR FROM NFA MEMBERSHIP
• PERMANENT BAR FROM PRINCIPAL STATUS
• FINE (JOINTLY AND SEVERALLY) $300000
• WITHDRAW FROM MEMBERSHIP
NFA 14MRA00001 • NFA GENERAL DISCIPLINARY ACTION
12/18/2014 • MRA TERMINATED
• MRA AFFIRMED - HEARING PANEL
• PETITION FOR STAY DENIED
• PETITION FOR STAY FILED
• MEMBER RESPONSIBILITY ACTION
CFTC 15-35 • CFTC PROCEEDINGS
09/24/2015 • FINE $280000
• MAY NOT APPLY TO REGISTER
• MAY NOT OPERATE AS PRINCIPAL
• OTHER (SEE NARRATIVE)
• TRADING PROHIBITION
• CEASE AND DESIST ORDER