NFA

A peer shares a copy of an NFA exam letter sent to a CPO/CTA adviser.

The Complaint alleged that Wealth Creation, Fox Financial and Javor made misleading sales solicitations, in violation of NFA Compliance Rules 2-2(a),2-29(a\(1),2-29(bX1) and 2-29(b)(2); and that ...

This firm must turn to a professional acceptable to the NFA to help with future disclosure documents and the firm's promotional materials. It also must ...

The Complaint alleged that Streifel used deceptive and misleading promotional material and made misleading and unbalanced sales solicitations, in violation of NFA Compliance Rules 2-29(b)(1) ...

Aronson ran a commodity trading advisor.

The NFA's complaint alleged that Spartan failed to provide periodic account statements to pool participants of a pool that it operated and failed to deposit ...

During an NFA exam, examiners listened to phone recordings. In this case, concern was drawn to a call with a prospective customer who was only ...

The CTA also failed to maintain required records. DECISION: On April 13, 2015, pursuant to a settlement offer submitted by Wharton Management and Wharton, they ...

The CTA didn't have procedures regarding allocations from bunched orders in violation of NFA Compliance Rule 2-10.

This FCM didn't have procedures for allocations from bunched trades and failed to adequately supervise.