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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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The results for the query dated : 11/21/2024 5:01:37 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.
ADRIAN, MARK J 11-14 Effective 06/27/11 -Prohibited from engaging directly or indirectly, in trading for or on behalf of anyone other than him, on or subject to the rules of any registered entity (as that term is defined in Section 1a of the Act, as amended by the CRA and the Dodd-Frank Act, to be codified at 7 U.S.C.; Effective 06/27/11 -Shall never engage, directly or indirectly, in entering into any transactions involving commodity futures, options on commodity futures, commodity options (as that term is defined in Commission Regulation ("Regulation") and/or foreignn currency (as described in Section 2(c)(2)(B) and 2(c)(2)(C)(i) of the Act, as amended by the CRA and the Dodd-Frank Act, to be codified at 7 U.S.C. Section 2(c)(2)(B) and 2(c)(2)(C)(i)) ("forex contract") for any account, other than his own personal account, in which he has a direct or indirect interest.; Effective 06/27/11 -Shall never engage, directly or indirectly, in controlling or directing the trading for or on behalf of any orther person or entity, whether by power of attorney or otherwise, in any account involving commodity futures, options on commodity futures, commodity options, and/or forex contracts.; Effective 06/27/11 -Shall never engage, directly or indirectly in apply for registration or claiming exemption from registration wigth the CFTC in any capacity, and engaging in any activity requiring such registration or exemption from registration with the CFTC, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14(a)(9) (2010).; Effective 06/27/11 -Shall never engage, directly or indirectly in acting as a principal (as that term is defined in Regulation 3.1(a)), agent or any other officer or employee of any person registered, exempted from registration or required to be registered with the CFTC, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. Section 4.14(a)(9) (2010).; Effective 06/27/11 -Shall never engage, directly or indirectly, in solicting, receiving, or accepting any funds from any person for purposes of purchasing or selling any commodity futures, options on commodity futures, commodity options, and/or forex contracts.
ADVANCED TRADING WORKSHOP, INC. 16-31 Effective 09/27/16 -Shall never directly or indirectly have any commodity interests traded on its behalf.; Effective 09/27/16 -Shall never, directly or indirectly control or direct the trading for or on behalf of any other person or entity, whether by power of attorney or otherwise, in any account involving commodity interests.; Effective 09/27/16 -Shall never, directly or indirectly solicit, receive, or accept any funds from any person for the purpose of purchasing or selling any commodity interests.; Effective 09/27/16 -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 09/27/16 -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 09/27/16 -Shall never directly or indirectly enter into any transactions involving commodity interests" (as that term is defined in Regulation 1.3(yy), 17 C.F.R. § 1.3(yy) (2014)) for it's own personal accounts or for any accounts in which it has a direct or indirect interest.; Effective 09/27/16 -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).
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.
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