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Violation Tracker Individual Record

Company: Zurich Futures and Options, Inc
Penalty: $5,429,196
Year: 2009
Date: December 23, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The Commodity Futures Trading Commission announced that it obtained more than $5.4 million in restitution and civil monetary penalties in a federal court default judgment order against Zurich Futures and Options, Inc., a Belize-registered corporation.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.