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Case Summary

SNC INVESTMENTS INC

NFA 09BCC00005

NFA ID: 0328909

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0328909	SNC INVESTMENTS INC	07/09/2009

Rule Summary

NFA ID	Respondent	Rule Type
0328909	SNC INVESTMENTS INC	• C.R.2-5 - FAILURE TO COOPERATE W/ NFA

Committee Summary

NFA ID	Respondent	Committee
0328909	SNC INVESTMENTS INC	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0328909	SNC INVESTMENTS INC	• GENERAL CONDUCT

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0328909	SNC INVESTMENTS INC	• PERMANENT BAR FROM PRINCIPAL STATUS	06/24/2009
		• PERMANENT BAR FROM NFA MEMBERSHIP	06/24/2009

Narrative Summary

Narrative for 0328909 - SNC INVESTMENTS INC

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On March 16, 2009, NFA issued a Complaint charging SNC with failing to cooperate with NFA.

DECISION:

On June 24, 2009, SNC was permanently barred from NFA membership and ordered to never again reapply for NFA membership, in any capacity, or act as a principal of an NFA Member firm.

Case Documents Summary

NFA ID	Respondent	Document Type
0328909	SNC INVESTMENTS INC	COMPLAINT
0328909	SNC INVESTMENTS INC	DECISION

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