| ROSLEX CORPORATION |
NFA 11BCC00011 |
NFA ID: 0309181 |
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| 0311016 | AQUINO, JULIO CESAR | 08/18/2011 | | 0329581 | DAY, PHILIP ANDREW | 08/18/2011 | | 0273710 | ROBLES, GABRIEL ALEXANDER | 06/30/2011 | | 0309181 | ROSLEX CORPORATION | 06/30/2011 | | 0331381 | WARE, ERICK EMMANUEL | 08/18/2011 |
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| 0311016 | AQUINO, JULIO CESAR | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | 0329581 | DAY, PHILIP ANDREW | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | 0273710 | ROBLES, GABRIEL ALEXANDER | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | 0309181 | ROSLEX CORPORATION | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • F.R.SEC4NEW - VIOLATING CFTC REGULATIONS | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • F.R.SEC5NEW - INTRODUCING BROKER FINANCIAL REQUIREMENTS | | 0331381 | WARE, ERICK EMMANUEL | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR |
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| 0311016 | AQUINO, JULIO CESAR | • BUSINESS CONDUCT COMMITTEE | | 0329581 | DAY, PHILIP ANDREW | • BUSINESS CONDUCT COMMITTEE | | 0273710 | ROBLES, GABRIEL ALEXANDER | • BUSINESS CONDUCT COMMITTEE | | 0309181 | ROSLEX CORPORATION | • BUSINESS CONDUCT COMMITTEE | | 0331381 | WARE, ERICK EMMANUEL | • BUSINESS CONDUCT COMMITTEE |
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| 0311016 | AQUINO, JULIO CESAR | • GENERAL CONDUCT | | 0329581 | DAY, PHILIP ANDREW | • GENERAL CONDUCT | | 0273710 | ROBLES, GABRIEL ALEXANDER | • GENERAL CONDUCT | | 0309181 | ROSLEX CORPORATION | • GENERAL CONDUCT | | | | • FINANCIAL | | | | • OFFICE RECORDKEEPING | | 0331381 | WARE, ERICK EMMANUEL | • GENERAL CONDUCT |
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| 0311016 | AQUINO, JULIO CESAR | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 2 YRS | 08/03/2011 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 2 YRS | 08/03/2011 | | | | • FINE (CONTINGENT) $10000 | 08/03/2011 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS | 08/03/2011 | | 0329581 | DAY, PHILIP ANDREW | • TEMPORARY BAR FROM PRINCIPAL STATUS 4 YRS | 08/03/2011 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 4 YRS | 08/03/2011 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 4 YRS | 08/03/2011 | | | | • FINE (CONTINGENT) $5000 | 08/03/2011 | | 0273710 | ROBLES, GABRIEL ALEXANDER | • TEMPORARY BAR FROM PRINCIPAL STATUS 4 YRS | 06/15/2011 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 4 YRS | 06/15/2011 | | | | • FINE (CONTINGENT) $35000 | 06/15/2011 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 4 YRS | 06/15/2011 | | 0309181 | ROSLEX CORPORATION | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/15/2011 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 06/15/2011 | | 0331381 | WARE, ERICK EMMANUEL | • TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS | 08/03/2011 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 5 YRS | 08/03/2011 | | | | • FINE (CONTINGENT) $10000 | 08/03/2011 | | | | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 5 YRS | 08/03/2011 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 19, 2011, NFA issued a Complaint charging RSX, Robles, Aquino, Ware and Day with failure to uphold high standards of commercial honor and just and equitable principles of trade. The Complaint also charged RSX with failure to maintain required books and records; failure to maintain required capital; and failure to give required notice. Finally, the Complaint charged RSX and Robles with failure to supervise.
DECISION:
On August 3, 2011, pursuant to a settlement offer submitted by Aquino, he was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member for two years. Should Aquino apply for NFA membership, associate membership or principal status with any NFA Member after the expiration of the two-year period, he was ordered to pay a $10,000 fine, due and payable in full on or before the date of any such application. No consideration will be given or action taken on Aquino's application unless and until the fine has been paid in full. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 19, 2011, NFA issued a Complaint charging RSX, Robles, Aquino, Ware and Day with failure to uphold high standards of commercial honor and just and equitable principles of trade. The Complaint also charged RSX with failure to maintain required books and records; failure to maintain required capital; and failure to give required notice. Finally, the Complaint charged RSX and Robles with failure to supervise.
DECISION:
On August 3, 2011, pursuant to a settlement offer submitted by Day, he was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member for four years. Should Day apply for NFA membership, associate membership or principal status with any NFA Member after the expiration of the four-year period, he was ordered to pay a $5,000 fine, due and payable in full on or before the date of any such application. No consideration will be given or action taken on Day's application unless and until the fine has been paid in full. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 19, 2011, NFA issued a Complaint charging RSX, Robles, Aquino, Ware and Day with failure to uphold high standards of commercial honor and just and equitable principles of trade. The Complaint also charged RSX with failure to maintain required books and records; failure to maintain required capital; and failure to give required notice. Finally, the Complaint charged RSX and Robles with failure to supervise.
DECISION:
On June 15, 2011, pursuant to a settlement offer submitted by RSX and Robles, RSX was ordered to never apply for NFA membership or principal status with any NFA Member in the future. Robles was ordered not to apply for NFA membership, associate membership, or principal status with any NFA Member for four years. Should Robles apply for NFA membership, associate membership or principal status with any NFA Member after the expiration of the four-year period, he was ordered to pay a $35,000 fine, due and payable in full on or before the date of any such application. Any future application by Robles for NFA membership, associate membership or principal status with any NFA Member will not be considered or approved unless the fine has been paid in full. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 19, 2011, NFA issued a Complaint charging RSX, Robles, Aquino, Ware and Day with failure to uphold high standards of commercial honor and just and equitable principles of trade. The Complaint also charged RSX with failure to maintain required books and records; failure to maintain required capital; and failure to give required notice. Finally, the Complaint charged RSX and Robles with failure to supervise.
DECISION:
On June 15, 2011, pursuant to a settlement offer submitted by RSX and Robles, RSX was ordered to never apply for NFA membership or principal status with any NFA Member in the future. Robles was ordered not to apply for NFA membership, associate membership, or principal status with any NFA Member for four years. Should Robles apply for NFA membership, associate membership or principal status with any NFA Member after the expiration of the four-year period, he was ordered to pay a $35,000 fine, due and payable in full on or before the date of any such application. Any future application by Robles for NFA membership, associate membership or principal status with any NFA Member will not be considered or approved unless the fine has been paid in full. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On May 19, 2011, NFA issued a Complaint charging RSX, Robles, Aquino, Ware and Day with failure to uphold high standards of commercial honor and just and equitable principles of trade. The Complaint also charged RSX with failure to maintain required books and records; failure to maintain required capital; and failure to give required notice. Finally, the Complaint charged RSX and Robles with failure to supervise.
DECISION:
On August 3, 2011, pursuant to a settlement offer submitted by Ware, he was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member for five years. Should Ware apply for NFA membership, associate membership or principal status with any NFA Member after the expiration of the five-year period, he was ordered to pay a $10,000 fine, due and payable in full on or before the date of any such application. No consideration will be given or action taken on Ware's application unless and until the fine has been paid in full. | | |
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