Case Summary

CAPITAL MARKET SERVICES LLC NFA 06BCC00039 NFA ID: 0313199 Respondent/Effective Date Summary  NFA ID Respondent Effective Date  0313199 CAPITAL MARKET SERVICES LLC 12/26/2006 Rule Summary  NFA ID Respondent Rule Type  0313199 CAPITAL MARKET SERVICES LLC • C.R.2-36(d) - FOREX DEALER MEMBERS DOING BUSINESS WITH NON-MEMBERS Committee Summary  NFA ID Respondent Committee  0313199 CAPITAL MARKET SERVICES LLC • BUSINESS CONDUCT COMMITTEE Action Summary  NFA ID Respondent Action Types  0313199 CAPITAL MARKET SERVICES LLC • GENERAL CONDUCT Penalty/Event Summary  NFA ID Respondent Penalty/Event Event Date  0313199 CAPITAL MARKET SERVICES LLC • FINE $75000 12/08/2006 Narrative Summary Narrative for 0313199 - CAPITAL MARKET SERVICES LLC **To view documents, go to Case Documents. For a copy of Documents, contact NFA's Information Center.** COMPLAINT: On December 8, 2006, NFA issued a Complaint charging CMS for the deficient promotional materials of its Non-Member solicitors. DECISION: On December 8, 2006, CMS was ordered to pay $75,000.   Case Documents Summary  NFA ID Respondent Document Type  0313199 CAPITAL MARKET SERVICES LLC COMPLAINT  0313199 CAPITAL MARKET SERVICES LLC DECISION