|**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
On May 19, 2011, NFA issued a Complaint charging CMS with failure to implement an adequate business continuity and disaster recovery plan and failure to supervise electronic trading systems.
On July 13, 2011, pursuant to a settlement offer submitted by CMS, the firm was ordered to pay a $75,000 fine.