| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 24, 2009, NFA issued a Complaint alleging that IFINIX failed to maintain required minimum ANC and adequate books and records; failed to file notice with NFA; and failed to develop and implement an adequate AML program.
ANSWER:
On July 22, 2009, IFINIX filed an Answer to the Complaint in which the firm denied the material allegations contained therein.
DECISION:
On November 2, 2009, IFINIX was ordered to pay a $17,500 fine. |