| COURTNEY DAVID SMITH |
NFA 12BCC00041 |
NFA ID: 0006615 |
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| 0006615 | SMITH, COURTNEY DAVID | |
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| 0006615 | SMITH, COURTNEY DAVID | • C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER. | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS | | | | • C.R.2-29(b)(2) - MISSTATEMT/OMISSION OF FACT PROMP |
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| 0006615 | SMITH, COURTNEY DAVID | • BUSINESS CONDUCT COMMITTEE |
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| 0006615 | SMITH, COURTNEY DAVID | • SALES PRACTICE | | | | • GENERAL CONDUCT |
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| | | No penalties have been selected for this case. |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On December 4, 2012, NFA issued a Complaint charging Smith with using misleading promotional material and failing to produce records to NFA.
ANSWER:
On January 4, 2013, Smith filed an Answer to the Complaint in which he denied the material allegations contained therein.
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