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Showing posts with the label NFA ENFORCEMENT ACTIONS

NFA enforcement actions: NFA takes emergency enforcement action against SureInvestment, LLC and its principal

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For Immediate Release For More Information Contact: Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org NFA takes emergency enforcement action against SureInvestment, LLC and its principal September 2, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against SureInvestment, LLC (SureInvestment) and its associated person (AP) and principal, Crosby Wood . SureInvestment and Wood are suspended from NFA membership effective immediately until further notice. SureInvestment is a Commodity Pool Operator and Commodity Trading Advisor located in McLean, Virgina. NFA commenced an examination of SureInvestment after learning of an action taken by the Financial Services Authority (FSA) in the United Kingdom against Benjamin Wilson , who was a listed principal and AP of SureInvestment. Throughout NFA's examination and investigation of the f

NFA : For Immediate Release: NFA takes emergency enforcement action against two Texas firms, CDH Global Holdings and CDH Forex Investments, and the firms' principal. July 20th., 2010

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For Immediate Release For More Information Contact: Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org NFA takes emergency enforcement action against two Texas firms, CDH Global Holdings and CDH Forex Investments, and the firms' principal July 20, Chicago - National Futures Association (NFA) announced today that it has taken an emergency enforcement action against CDH Global Holdings, LLC (CDH Global), CDH Forex Investments, LLC (CDH Forex) and Linda F. Harris , the firms' principal. CDH Global is a Commodity Trading Advisor and CDH Forex is a Commodity Pool Operator. Both firms are located in Flower Mound, Texas. NFA has taken this Member Responsibility Action (MRA) and Associate Responsibility Action (ARA) because CDH Global, CDH Forex and Harris provided false and misleading information to NFA and failed to cooperate with NFA in its investigation of dramatically high performance claims co

NFA : Recent Enforcement Actions .- July 14th., 2010

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Recent Enforcement Actions In the second quarter of 2010, NFA's Business Conduct Committee issued Decisions, Member Responsibility Actions and Final Orders in Registration Cases against the following NFA Member firms and individuals. Click on the name for more detailed information. Decisions in Disciplinary Cases Shahzad Akram Cheryl A. Arts AVS Carter Financial, Inc. Brewer Futures Group LLC Steven J. Brewer Gina M. Campise City Capital Management LLC Luke M. Coleman Commodity Futures & Options Service, Inc. Global Futures Trading Integrity FX LLC JKV Global Enterprises Inc. LaSalle Global Jonathan Lee Nabil P. Niman Jason Ritchie Carlo Scevola Alexander M. Silverman Dan E. Stamer Michael W. Victor Windsor Wealth Management LLC Bryan L. Wright Member Responsibility Actions System Capital, LLC Joshua W. Wallace Final Orders in Registration Cases Nicholas Hegarty Justin S. Maese