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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.

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Respondent Name:
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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 : 2/9/2016 4:31:44 AM are:

Respondent NameRespondent akaCFTC Docket No.NFA IdSanction Dates and Explanations
HAERES CAPITAL, LLC 16-040460856Effective 12/07/15 -Permanently prohibited from, directly or indirectly, engaging in trading on or subject to the rules of any registered entity (as that term is defined in Section 1a(40) of the Act, 7 U.S.C. § 1a(40) (2012)), and all registered entities shall refuse its trading privileges.; Effective 12/07/15 -Shall never directly or indirectly apply for registration or claim exemption from registration with the Commission in any capacity, and 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. § 4.14(a)(9) (2014).
MOTAZEDI, ARYA 16-020490361Effective 12/02/15 -Permanently prohibited from, directly or indirectly, engaging in trading on or subject to the rules of any registered entity (as that term is defined in Section 1a(40) of the Act, 7 U.S.C. Section 1a(40) (2012)), and all registered entities shall refuse him trading privileges.; Effective 12/03/15 Shall never, directly, or indirectly apply for registration or claim exemption from registration with the Commission in any capacity, and 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) (2014).; Effective 12/02/15 -Shall never, directly or indirectly act as a principal (as that term is defined in Regulation 3.1(a), 17 C.F.R. Section 3.1(a) (2011)), agent or any other officer or employee of any person (as that term is defined in Section 1a(38) of the Act, 7 U.S.C. Section 1a(38) (2012) registered, required to be registered, or exempted from registration with the Commission except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14 (a)(9) (2014).
OVSEPYAN, GAREN 16-040425579Effective 12/07/15 -Permanently prohibited from, directly or indirectly, engaging in trading on or subject to the rules of any registered entity (as that term is defined in Section 1a(40) of the Act, 7 U.S.C. § 1a(40) (2012)), and all registered entities shall refuse his trading privileges.-; Effective 12/07/15 -Shall never directly or indirectly apply for registration or claim exemption from registration with the Commission in any capacity, and 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. § 4.14(a)(9) (2014).; Effective 12/07/15 -Shall never directly or indirectly act as a principal (as that term is defined in Regulation 3.1(a), 17 C.F.R. § 3.1(a) (2011)), agent or any other officer or employee of any person (as that term is defined in Section 1a(38) of the Act, 7 U.S.C. § 1a(38) (2012) registered, required to be registered, or exempted from registration with the Commission except as provided for in Regulation 4.14(a)(9), 17 C.F.R. § 4.14(a)(9) (2014).
SHARPE SIGNA LLC 16-040444721Effective 12/07/15 -Permanently prohibited from, directly or indirectly, engaging in trading on or subject to the rules of any registered entity (as that term is defined in Section 1a(40) of the Act, 7 U.S.C. § 1a(40) (2012)), and all registered entities shall refuse its trading privileges.; Effective 12/07/15 -Shall never directly or indirectly apply for registration or claim exemption from registration with the Commission in any capacity, and 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. § 4.14(a)(9) (2014).