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On December 9, 2009, NFA issued a Complaint charging Bobba with failing to cooperate with NFA in its investigation of Windsor Wealth Management LLC.
On January 8, 2010, Bobba filed an Answer to the Complaint in which he denied the material allegations contained therein.
On July 12, 2010, Bobba was prohibited from apply for NFA membership or associate membership or acting as a principal of an NFA Member, prior to September 11, 2016. If, after expiration of Bobba's membership bar on September 11, 2016 he reapplies for NFA membership or associate membership or seeks to become a principal of an NFA Member then, in any such event, the facts and violations alleged in the Complaint in this case will be deemed admitted, and will not be contested by him, and may be used as the sole basis for denying him registration, NFA membership or associate membership and/or principal status.
If, after expiration of Bobba's membership bar on September 11, 2016 he applies for NFA membership or associate membership or seeks to become a principal of an NFA Member then, in any such event, he must pay a $75,000 fine, due and payable at the time he makes such application. Until such time as Bobba pays the fine in full, no action will be taken to process his application. Moreover, payments of the fine by Bobba will in no way preclude NFA from denying Bobba's application solely on the basis of the facts and violations in this case.