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BASIC Regulatory Actions
BERNSTEIN, JACOB
NFA ID 0054855
Important Information Regarding Regulatory Actions: The system includes all
regulatory actions taken by NFA, all enforcement actions taken by the CFTC
and, since at least 1990, all formal regulatory actions (with the exception
of minor actions for decorum and attire) taken by the U.S. futures exchanges.
The Regulatory Actions Detail page includes information regarding the
outcome in each of these matters. Just like in all legal proceedings,
almost all regulatory actions are resolved by a settlement, not an
adjudication. A settlement may result in the imposition of a penalty
without a determination of the merits of the charges or formal findings of
wrongdoing. For information regarding whether a case has been adjudicated
or settled, please refer to the narrative.
Contributor Case No. Action Type Effective Date Outcome
NFA 96BCC00015
- SALES PRACTICE
3/8/99 - PERMANENT BAR FROM NFA MEMBERSHIP
- FINE $200000
- ON APPEAL
©National Futures Association 1998-1999
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