| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On October 28, 2008, NFA issued a Complaint charging Walsh Trading with failure to implement an adequate AML program.
ANSWER:
On November 17, 2008, Walsh Trading filed an Answer to the Complaint in which it denied the material allegations contained therein.
DECISION:
On February 2, 2009, Walsh Trading was ordered to pay a $7,500 fine. |