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NOTICE OF INTENT TO DENY REGISTRATION:
On November 2, 2012, NFA issued a Notice of Intent to deny George's pending AP registration, charging that his willful failure to disclose on a previous registration application the material fact that he was subject to a FINRA suspension disqualifies him under Section 8a(2)(G) of the Commodity Exchange Act.
FINAL ORDER GRANTING CONDITIONAL REGISTRATION:
On November 2, 2012, a Subcommittee of NFA's Membership Committee accepted George's settlement offer and granted him registration subject to conditions. |