| CHANGES CAPITAL MANAGEMENT LLC |
NFA 09BCC00012 |
NFA ID: 0335906 |
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| 0335906 | CHANGES CAPITAL MANAGEMENT LLC | 10/01/2009 | | 0336145 | SHAH, PINANK V | 10/01/2009 |
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| 0335906 | CHANGES CAPITAL MANAGEMENT LLC | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | 0336145 | SHAH, PINANK V | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA |
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| 0335906 | CHANGES CAPITAL MANAGEMENT LLC | • BUSINESS CONDUCT COMMITTEE | | 0336145 | SHAH, PINANK V | • BUSINESS CONDUCT COMMITTEE |
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| 0335906 | CHANGES CAPITAL MANAGEMENT LLC | • GENERAL CONDUCT | | 0336145 | SHAH, PINANK V | • GENERAL CONDUCT |
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| 0335906 | CHANGES CAPITAL MANAGEMENT LLC | • PERMANENT BAR FROM PRINCIPAL STATUS | 09/16/2009 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/16/2009 | | 0336145 | SHAH, PINANK V | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 09/16/2009 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 09/16/2009 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/16/2009 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 10, 2009, NFA issued a Complaint alleging that CCM and Shah failed to cooperate with NFA in its inquiry into CCM's operations.
DECISION:
On September 16, 2009, CCM was permanently barred from NFA membership and from acting as a principal of an NFA Member; and Shah was permanently barred from NFA membership and associate membership and from acting as a principal of an NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 10, 2009, NFA issued a Complaint alleging that CCM and Shah failed to cooperate with NFA in its inquiry into CCM's operations.
DECISION:
On September 16, 2009, CCM was permanently barred from NFA membership and from acting as a principal of an NFA Member; and Shah was permanently barred from NFA membership and associate membership and from acting as a principal of an NFA Member. | | |
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