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NOTICE OF MEMBER RESPONSIBILITY ACTION AND ASSOCIATE RESPONSIBILITY ACTION:
On January 23, 2012, NFA issued a Member Responsibility Action ("MRA") against Crabapple Capital Group LLC ("CCG") and an Associate Responsibility Action ("ARA") against Robert Allen Christy ("Christy") whereby:
1. CCG, Christy, and any person acting on CCG's behalf are prohibited from soliciting or accepting any funds from customers or investors, soliciting investments for any managed accounts, pools or other investment vehicles, or placing any trades on behalf of customers, commodity pools, or investors except liquidation or risk reducing trades;
2. CCG, Christy, and any person acting on CCG's behalf are prohibited from disbursing or transferring any funds over which they or any person acting on their behalf exercises control (including bank, trading and other types of accounts), without prior approval from NFA; and
3. CCG and Christy are required to provide copies of this MRA/ARA by overnight courier or e-mail to all: a) customers; b) managed account holders or participants in any pools controlled or operated by CCG and Christy; and c) banks and other financial institutions in which money is on deposit in the name of CCG or any of the accounts it operates.
This action is effective immediately and deemed necessary to protect investors in futures and forex accounts and other investment vehicles controlled by CCG and/or Christy because of their failure to cooperate with NFA in its examination of CCG by failing to produce books and records and other information that NFA has requested from them. Additionally, CCG and Christy have provided NFA with false and misleading information during the course of NFA's examination and investigation of the firm. Consequently, NFA has been unable to determine whether CCG and Christy have acted properly in their dealings with customers or whether they have misappropriated customers' funds and provided false information to NFA and customers concerning their investments.
The MRA and ARA will remain in effect until such time as CCG and Christy have demonstrated to the satisfaction of NFA that they are in complete compliance with all NFA Requirements.