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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.

Search Administrative Sanctions in Effect by:

Respondent Name:
Respondent aka:
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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 : 5/21/2018 8:58:00 AM are:

Respondent NameRespondent akaCFTC Docket No.NFA IdSanction Dates and Explanations
AXCESS FUND MANAGEMENT, LLC SD 12-100400184Effective 03/21/13 -Registration with the Commission as a commodity pool operator is revoked.
BROOKSHIRE RAW MATERIAL MANAGEMENT, LLC SD 11-02 Effective 03/16/11 -Registration with the Commission as a commodity pool operator and a commodity trading advisor are revoked.
CARROLL, THOMAS 11-020339599Effective 12/09/10 -Permanently prohibited from directly or indirectly, trading on or subject to the rules of any registered entity, as that term is defined in Section 1a(29) of the Act, 7 U.S.C. Section 1a(29) (2006).; Effective 12/09/10 -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).; Effective 12/09/10 -Shall never act as a principal (as that term is defined in Regulation 3.1(a), 17 C.F.R. Section 3.1(a) (2010)), agent, officer, or employee of any person (as that term is defined in Section 1a(28) of the Act, 7 U.S.C. Section 1a(28)) 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) (2010).; Effective 12/09/10 -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 Regulation 32.1(b)(1)) ("commodity options"), and/or foreign currency (as described in Sections 2(c)(2)(B) and 2(c)(2)(C)(i) of the Act, as amended by the CRA, to be codified at 7 U.S.C. Sections 2(c)(2)(B) and 2(c)(2)(C) (i)) ("forex contracts") for his own personal account or for any account in which he has a direct or indirect interest.; Effective 12/09/10 -Shall never engage, directly or indirectly in having any commodity futures, options on commodity futures, commodity options, and/or forex contracts traded on his behalf.; Effective 12/09/10 -Shall never engage, directly or indirectly, in controlling or directing the trading for or on behalf of any other 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.
CDH FOREX INVESTMENTS, LLC SD 12-070390384Effective 01/16/13 -Registrations with the Commission as a commodity trading advisor and a commodity pool operator are revoked.
CDH GLOBAL HOLDINGS, LLC SD 12-070402884Effective 01/16/13 -Registation with the Commission as a commodity trading advisor is revoked.
CENTURION GLOBAL CAPITAL MANAGEMENT, LLC 12-070411927Effective 01/23/12 -Permanently prohibited from engaging, directly or indirectly, in trading 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. § 1a), and all registered entities shall refuse it trading privileges.; Effective 01/23/12 -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 32.1(b)(1), 17 C.F.R. § 32.1(b)(1) (2011)) ("commodity options"), and/or foreign currency (as described in Sections 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. §§ 2(c)(2)(B) and 2(c)(2)(C)(i)) ("forex contracts") for its own personal account or for any account in which it has a direct or indirect interest.; Effective 01/23/12 -Shall never engage, directly or indirectly in controlling or directing the trading for or on behalf of any other 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 01/23/12 -Shall never engage, directly or indirectly in soliciting, receiving, or accepting any funds from any person for the purpose of purchasing or selling any commodity futures, options on commodity futures, commodity options, and/or forex contracts.; Effective 01/23/12 -Shall never engage, directly or indirectly in applying for registration or claiming exemption from registration with the Commission in any capacity, and engaging 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) (2011).; Effective 01/23/12 -Shall never engage, directly or indirectly, in acting 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 of the Act, as amended by the CRA and the Dodd-Frank Act, to be codified at 7 U.S.C. § 1a) 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) (2011).; Effective 01/23/12 -Shall never engage, directly or indirectly in having any commodity futures, options on commodity futures, commodity options, and/or forex contracts traded on its behalf.
CHRISTY, ROBERT A. SD 13-010019851Effective 05/16/13 -Registration with the Commission as an associated person is revoked.
CILLI, VICTOR E. SD 12-090375945Effective 03/11/13 -Registration with the Commission as an associated person is revoked.
CRABAPPLE CAPITAL GROUP, LLC SD 13-010425760Effective 05/16/13 -Registrations with the Commission as a commodity pool operator and a commodity trading advisor are revoked.
DAWSON, JOSEPH A SD 12-030270130Effective 08/09/12 -Registration with the Commission as an associated person is revoked.
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