| TO VIEW THE DOCUMENTS LISTED BELOW, GO TO CASE DOCUMENTS. TO OBTAIN A COPY, CONTACT NFA'S INFORMATION CENTER
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Notice of Intent to Revoke Registrations:
On December 21, 2010, NFA's President issued a Notice to Revoke Registration to William Sumner Scott alleging that he is disqualified from registration under Section 8a(3)(M) of the Commodity Exchange Act.
Response to Notice of Intent and Motion for Waiver of Disqualification Fee or for an Extension of Time and for an Offer of Settlement:
On January 4, 2011, Scott filed a Response to the Notice of Intent wherein he denies that he is disqualified from registration for "other good cause" under the Act. Scott requests a waiver from filing a disqualification fee. Scott also requests the opportunity to submit a settlment offer or in the alternative, Scott requests a hearing before NFA's Membership Committee.
Final Order Revoking Registrations:
On October 5, 2011, a Subcommittee of NFA's Membership Committee issued a Final Order Revoking Registrations to Scott after a hearing was held. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Scott Notice of Appeal and Motion for Stay of Revocation of Registrations:
On October 13, 2011, Scott filed with the Commodity Futures Trading Commission a Notice of Appeal and a Motion for Stay of Revocation of Registrations. To view these documents, go to Case Documents, or to obtain a copy, contact NFA's Information Center. |