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NFA Enforcement Actions: CD Capital Management Inc. Permanently Barred From NFA Membership.

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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 permanently bars Florida firm CD Capital Management, Inc. from NFA membership March 3, Chicago - National Futures Association (NFA) has permanently barred CD Capital Management, Inc. (CD Capital Management) from NFA membership. CD Capital Management is a Commodity Trading Advisor located in Miami, Florida. The Decision, issued by an NFA Hearing Panel, is based on an NFA Complaint filed in November 2010 and a settlement offer submitted by CD Capital Management. The Complaint alleged that CD Capital Management provided false information to NFA; solicited and managed forex accounts without providing customers with an approved disclosure document; and failed to supervise the firm's business. Additionally, the Complaint alleged that CD Capital Management failed to list two individuals as pr

NFA permanently bars California firm Rock Financial Group 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 permanently bars California firm Rock Financial Group and its principal December 29, Chicago - National Futures Association (NFA) has permanently barred Rock Financial Group LLC (Rock Financial Group) and its principal, Scott Schaffer , from NFA membership. Rock Financial Group is a Commodity Trading Advisor located in Woodland Hills, California. The Decision, issued by NFA's Business Conduct Committee, is based on an NFA Complaint filed in December 2010 and a settlement offer submitted by Rock Financial Group and Schaffer. The Committee found that Rock Financial Group and Schaffer failed to cooperate fully and promptly in NFA's investigation of the firm. NFA's investigation resulted in an emergency enforcement action taken against Rock Financial Group and Schaffer. See previo