| ANN ELIZABETH BARNHARDT |
NFA ID: 0282801 |
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An NFA Arbitration claim is a futures or forex related dispute involving a customer and an NFA Member (or employee) or Associate. It is not a regulatory action.
NFA only discloses information concerning arbitration cases that have been decided by an arbitration panel.
NFA does not release the names of parties who have settled their parts in the cases. Furthermore, NFA does not
report or release information on cases that closed before January 1, 1990, cases that are still pending, or
cases that were settled, withdrawn or rejected. Therefore, the number of NFA Arbitration Decisions reflects
the total number of claims filed in NFA Arbitration that were decided by an arbitration panel. These decisions
may have been decided in favor of the Claimant or Respondent.
Effective January 1, 2000, NFA discloses the names of persons who represent parties in NFA customer arbitration
proceedings if the matters were decided by an arbitration panel. As of the same date, customers may no longer ask
NFA to keep their identities confidential.
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| 09ARB00009 | 01/20/2009 | 10/28/2009 | |
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| • MOIOLA BROTHERS CATTLE FEEDERS, LTD | • ANN ELIZABETH BARNHARDT
• BARNHARDT CAPITAL MANAGEMENT | • JOHN CONNOLLY
• EDWARD NOWAK |
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| NON-MEMBER | 3 | HEARING | CHICAGO, IL |
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| $355,000.00 | $50,000.00 | | $100,000.00 | $50,000.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| | | The following issues were presented to and decided by the undersigned arbitrators: constructive fraud, fraud and deceit, misrepresentations and omissions of material facts, excessive trading, failure to follow instructions, aiding and abetting, failure to supervise, breach of contract, breach of fiduciary duty, violation of NFA Compliance Rules 2-2, 2-4, 2-9 and 2-29, violation of Sections 2a(1)(b), 4b, 4c(b) and 13a of the Commodity Exchange Act, violation of CFTC Regulations 33.10, and 166.3, Claimant's request for punitive damages, interest and costs and Respondents' request for attorney's fees.
We, the Arbitrators appointed to hear and decide this matter in accordance with the Code of Arbitration of National Futures Association, have determined that the following relief shall be granted:
Barnhardt Capital Management and Ann E. Barnhardt are jointly and severally liable for the following award and shall pay to Moiola Brothers Cattle Feeders, Ltd.:
All other relief requested is hereby denied. Each party shall bear its own costs and fees as incurred.
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