| JAMES EMERSON GREEN |
NFA 12BCC00030 |
NFA ID: 0209125 |
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| 0397435 | FXDIRECTDEALER LLC | | | 0209125 | GREEN, JAMES EMERSON | |
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| 0397435 | FXDIRECTDEALER LLC | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM | | 0209125 | GREEN, JAMES EMERSON | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES |
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| 0397435 | FXDIRECTDEALER LLC | • BUSINESS CONDUCT COMMITTEE | | 0209125 | GREEN, JAMES EMERSON | • BUSINESS CONDUCT COMMITTEE |
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| 0397435 | FXDIRECTDEALER LLC | • GENERAL CONDUCT | | 0209125 | GREEN, JAMES EMERSON | • 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 October 23, 2012, NFA issued a Complaint charging FXDD with failing to implement an adequate AML program. The Complaint also charged FXDD and Green with failing to supervise.
ANSWER:
On December 10, 2012, FXDD filed an Answer to the Complaint in which the firm denied the material allegations contained therein.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On October 23, 2012, NFA issued a Complaint charging FXDD with failing to implement an adequate AML program. The Complaint also charged FXDD and Green with failing to supervise.
ANSWER:
On December 10, 2012, Green filed an Answer to the Complaint in which he denied the material allegations contained therein.
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