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COMPLAINT:
On June 30, 2009, NFA issued a Complaint charging Locricchio with acting as a CTA without being registered as a CTA; failing to obtain written authorization to exercise discretion over customer accounts; providing false or misleading information to NFA; and failing to observe high standards of commercial honor and just and equitable principles of trade.
ANSWER:
On August 3, 2009, Locricchio filed an Answer to the Complaint in which he denied the material allegations contained therein.
DECISION:
On January 6, 2010, Locricchio was ordered to withdraw from NFA membership and associate membership and not apply for NFA membership or act as a principal of an NFA Member for two years. In addition, Locricchio was ordered not to reapply for NFA associate membership for six months.
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