| HI TECH FUTURES TRADING INC |
NFA 09BCC00008 |
NFA ID: 0293946 |
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| 0280335 | HALL, JAMIE LEE | 08/26/2009 | | 0293946 | HI TECH FUTURES TRADING INC | 08/26/2009 |
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| 0280335 | HALL, JAMIE LEE | • C.R.2-6 - CONDUCTING BUSINESS W/ SUSP. MEMBER | | 0293946 | HI TECH FUTURES TRADING INC | • C.R.2-6 - CONDUCTING BUSINESS W/ SUSP. MEMBER |
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| 0280335 | HALL, JAMIE LEE | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0293946 | HI TECH FUTURES TRADING INC | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0280335 | HALL, JAMIE LEE | • GENERAL CONDUCT | | 0293946 | HI TECH FUTURES TRADING INC | • GENERAL CONDUCT |
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| 0280335 | HALL, JAMIE LEE | • FINE $12000 | 08/11/2009 | | | | • OTHER--SEE NARRATIVE | 08/11/2009 | | 0293946 | HI TECH FUTURES TRADING INC | • FINE $12000 | 08/11/2009 | | | | • OTHER--SEE NARRATIVE | 08/11/2009 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On April 7, 2009, NFA issued a Complaint charging HTFT and Hall with doing business with an individual who had been permanently barred from NFA membership.
ANSWER:
On May 7, 2009, HTFT and Hall filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On August 11, 2009, Hall, Hi-Tech, HT Funds LLC and any other firm of which Hall is or becomes a principal and/or an AP, were ordered to not solicit or accept new customers, or introduce new accounts, for eighteen months; however, during such eighteen-month period, Hall, Hi-Tech, HT Funds LLC and any other firm of which Hall is or becomes a principal and/or an AP, may continue to service, introduce, and/or manage existing accounts that were opened on or prior to the date of the settlement offer. Hall and Hi-Tech were also ordered to pay a $12,000 fine. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On April 7, 2009, NFA issued a Complaint charging HTFT and Hall with doing business with an individual who had been permanently barred from NFA membership.
ANSWER:
On May 7, 2009, HTFT and Hall filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On August 11, 2009, Hall, Hi-Tech, HT Funds LLC and any other firm of which Hall is or becomes a principal and/or an AP, were ordered to not solicit or accept new customers, or introduce new accounts, for eighteen months; however, during such eighteen-month period, Hall, Hi-Tech, HT Funds LLC and any other firm of which Hall is or becomes a principal and/or an AP, may continue to service, introduce, and/or manage existing accounts that were opened on or prior to the date of the settlement offer. Hall and Hi-Tech were also ordered to pay a $12,000 fine. | | |
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