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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 aka:
CFTC Docket No.:
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The results for the query dated : 1/14/2009 2:28:45 PM are:

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Respondent Name

Respondent aka

CFTC Docket No.

NFA Id

Sanction Dates and Explanations

A & H FINANCIAL SERVICES, INC.

91-22

0213220

Effective 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

98-7

0262284

Effective 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

07-03

0333884

Effective 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 FREDRICK

98-9

0198562

Effective 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.

ALBINO, GLORIA ANNE

95-11

0014607

Effective 04/23/98 -Registration with the Commission as an associated person is revoked.; Effective 04/23/98 -Shall comply with undertaking never to apply for registration with the Commission in any capacity and never to 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.

ALHAMBRA SUN HING BULLION LTD.

92-9

Effective 12/09/91 -Prohibited from trading on or subject to the rules of any designated contract market.; Effective 12/09/91 -Comply with its undertaking never to seek registration with the Commission in any capacity.

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