| BRENT DEAN BUCHHOLZ |
NFA 05BCC00021 |
NFA ID: 0290156 |
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| 0290156 | BUCHHOLZ, BRENT DEAN | 12/27/2005 | | 0309181 | ROSLEX CORPORATION | 11/23/2005 |
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| 0290156 | BUCHHOLZ, BRENT DEAN | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-8(a) - GRANT OF DISCRETION MUST BE WRITTEN | | 0309181 | ROSLEX CORPORATION | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-8(a) - GRANT OF DISCRETION MUST BE WRITTEN |
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| 0290156 | BUCHHOLZ, BRENT DEAN | • BUSINESS CONDUCT COMMITTEE | | 0309181 | ROSLEX CORPORATION | • BUSINESS CONDUCT COMMITTEE |
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| 0290156 | BUCHHOLZ, BRENT DEAN | • OFFICE RECORDKEEPING | | | | • SALES PRACTICE | | 0309181 | ROSLEX CORPORATION | • OFFICE RECORDKEEPING | | | | • SALES PRACTICE |
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| 0290156 | BUCHHOLZ, BRENT DEAN | • PERMANENT BAR FROM NFA MEMBERSHIP | 12/09/2005 | | 0309181 | ROSLEX CORPORATION | • FINE $30000 | 11/08/2005 |
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| COMPLAINT -
On September 23, 2005, NFA issued a Complaint charging Roslex and Buchholz with exercising discretion without written authority and making a deceptive and misleading sales solicitation. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On December 9, 2005, Buchholz was permanently barred from NFA membership, Associate NFA membership and from acting as a principal of any NFA Member. To view Decision, go to Case Documents. For copies of Decision, contact NFA. | | | |
| COMPLAINT -
On September 23, 2005, NFA issued a Complaint charging Roslex and Buchholz with exercising discretion without written authority and making a deceptive and misleading sales solicitation. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On November 8, 2005, Roslex was fined $30,000. To view Decision, go to Case Documents. For copies of Decision, contact NFA. | | |
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