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.
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NFA Actions
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CFTC Actions
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Exchange Actions
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Foreign Regulator Actions
Effective Date
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The date when the disciplinary action became effective.
Contributor
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The CFTC, NFA and any U.S. futures exchange which includes its disciplinary actions in NFA's BASIC system.
