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Case Summary

BRANDYWINE ASSET MANAGEMENT INC

NFA 06BCC00025

NFA ID: 0000265

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0000265	BRANDYWINE ASSET MANAGEMENT INC	04/27/2007

Rule Summary

NFA ID	Respondent	Rule Type
0000265	BRANDYWINE ASSET MANAGEMENT INC	• C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS

Committee Summary

NFA ID	Respondent	Committee
0000265	BRANDYWINE ASSET MANAGEMENT INC	• HEARING COMMITTEE
		• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0000265	BRANDYWINE ASSET MANAGEMENT INC	• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0000265	BRANDYWINE ASSET MANAGEMENT INC	• OTHER--SEE NARRATIVE	04/12/2007
		• FINE $35000	04/12/2007

Narrative Summary

Narrative for 0000265 - BRANDYWINE ASSET MANAGEMENT INC

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT -

On October 12, 2006 NFA issued a Complaint charging Brandywine with failure to timely file with NFA the annual reports.

ANSWER -

On November 13, 2006, Brandywine filed an Answer to the Complaint in which it denied the material allegations contained therein.

DECISION -

On April 12, 2007, Brandywine was ordered to pay a $35,000. On or before July 31, 2007, Brandywine was ordered to file with NFA any and all previously unfiled 2004 and 2005 annual reports for pools that they operated during those years.

Case Documents Summary

NFA ID	Respondent	Document Type
0000265	BRANDYWINE ASSET MANAGEMENT INC	ANSWER
0000265	BRANDYWINE ASSET MANAGEMENT INC	COMPLAINT
0000265	BRANDYWINE ASSET MANAGEMENT INC	DECISION

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