Font Size: AAA // Print // Bookmark

Administrative Sanctions in Effect 1975 - Present

Search Administrative Sanctions in Effect by Respondent Name, Respondent aka, CFTC Docket No., or NFA Id. Note: A default effective date of January 1, 1975 is used for all individuals and firms with Sanctions imposed in cases filed in fiscal years 1975 through 1987. For assistance with this search tool or for questions about specific Sanctions or Respondents, please contact the CFTC Office of Proceedings by email or by telephone at 202-418-5508.

Search Administrative Sanctions in Effect by:

Respondent Name:
Respondent aka:
CFTC Docket No.:
NFA Id:
Your query is: [Respondent Name: ALL] AND [Respondent aka: ALL] AND [CFTC Docket No.: ALL] AND [NFA Id: ALL]
The results for the query dated : 12/20/2014 12:16:41 AM are:

Respondent NameRespondent akaCFTC Docket No.NFA IdSanction Dates and Explanations
$KS FOREX INTERNATIONAL, INC. 03-060327513Effective 01/06/03 -Shall not engage in, control, or participate in any manner in the solicitation, trading, transmission or execution of commodity futures contracts, options on commodity futures contracts, or options on foreign currency as a counterparty or for or on behalf of any person or entity.; Effective 01/06/03 -Shall not apply for registration, seek exemption from registration, engage in any activity requiring registration or exemption from registration, except as provided for in Section 4.14(a)(9) of the Commission's Regulations.; Effective 01/06/03 -Shall not act in any capacity or affiliate in any way with any individual or entity that is registered, is required to be registered, or is exempt from registration with the Commission, except as provided for in Section 4.14(a)(9) of the Commission's Regulations.; Effective 01/06/03 -Shall not act in any capacity requiring registration with the Commission or exempt from registration, except as provided in Section 4.14(a)(9) of the Commission's Regulations.; Effective 01/06/03 -Prohibited from trading on or subject to the rules of any registered entity and all registered entities shall refuse its privileges thereon.
A & H FINANCIAL SERVICES, INC. 91-220213220Effective 06/30/92 -Registration as a commodity pool operator revoked.; Effective 06/30/92 -Comply with undertakings never to seek registration with the Commission in any capacity and never to engage in any activity that would require such registration.
ABRAHAM AND SONS CAPITAL, INC 98-70262284Effective 01/01/99 -Permanently prohibited from trading on or subject to the rules of any contract market, and all contract markets shall refuse trading privileges.; Effective 01/01/99 -Shall never apply for registration with the Commission in any capacity, and shall not engage in any activity requiring such registration or act as an agent or officer of any person registered or required to be registered with the Commission.
ACCELERATION CAPITAL, LLC 07-030333884Effective 01/16/07 -Registrations with the Commission as a commodity trading advisor and a commodity pool operator are revoked.; Effective 01/16/07 -Shall never apply for registration in any capacity or claim exemption from registration with the Commission in any capacity, and shall never engage in any activity requiring registration in any capacity, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14(a)(9).; Effective 01/16/07 -Shall not act as a principal, agent, officer or employee of any person registered, required to be registered, or exempted from registration except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14(a)(9).
Ackermann, John FredrickAckermann, John Fredrick; Ackermann, John Fredrick98-90198562Effective 07/20/98 -Registration with the Commission as an associated person is revoked.; Effective 07/20/98 -Permanently prohibited from trading on or subject to the rules of any contract market and all contract markets shall refuse him trading privileges.
ADKINS, DAVID 87-18 Effective 08/07/88 -Prohibited from trading on or subject to the rules of any contract market.
AGRIDATA 76-21 Effective 01/01/75 -Prohibited from trading on or subject to the rules of any contract market.; Effective 01/01/75 -Registration as a commodity trading advisor revoked.
AGRO COMMODITIES, INC. 79-30 Effective 01/01/75 -Prohibited from trading on or subject to the rules of any contract market.
AKAR, EMIL A 82-29 Effective 01/01/75 -Application for registration as a commodity trading advisor denied.
ALARON TRADING CORPORATION 10-190223154Effective 09/30/10 -Shall withdraw its registrations as an FCM and commodity trading advisor and shall never apply for registration or claim exemption from registration with the Commission in any capacity and shall never engage in any activity requiring such registration or exemption from registration with the Commission, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14(a)(9) (2010).
Page: 1 of 105 [Results 1 - 10] of 1045
Next>>>