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Case Summary

ALPHA FOREIGN EXCHANGE GROUP

NFA 06BCC00027

NFA ID: 0342278

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0342278	ALPHA FOREIGN EXCHANGE GROUP	05/24/2007

Rule Summary

NFA ID	Respondent	Rule Type
0342278	ALPHA FOREIGN EXCHANGE GROUP	• F.R.SEC1NEW - FCM FINANCIAL REQUIREMENTS
		• C.R.2-5 - FAILURE TO COOPERATE W/ NFA

Committee Summary

NFA ID	Respondent	Committee
0342278	ALPHA FOREIGN EXCHANGE GROUP	• HEARING COMMITTEE
		• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0342278	ALPHA FOREIGN EXCHANGE GROUP	• GENERAL CONDUCT
		• FINANCIAL

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0342278	ALPHA FOREIGN EXCHANGE GROUP	• FINE $25000	05/09/2007

Narrative Summary

Narrative for 0342278 - ALPHA FOREIGN EXCHANGE GROUP

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

COMPLAINT -

On October 12, 2006, NFA issue a Complaint charging Alpha with failure to file financial statements in a timely manner and failure to cooperate with NFA.

ANSWER -

On November 20, 2006, Alpha filed an Answer to the Complaint in which it denied the material allegations contained therein.

DECISION -

On May 9, 2007, Alpha was ordered to pay a $25,000 fine.

Case Documents Summary

NFA ID	Respondent	Document Type
0342278	ALPHA FOREIGN EXCHANGE GROUP	ANSWER
0342278	ALPHA FOREIGN EXCHANGE GROUP	COMPLAINT
0342278	ALPHA FOREIGN EXCHANGE GROUP	DECISION

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