| MIZNER FINANCIAL TRADING CORP |
NFA 05BCC00007 |
NFA ID: 0346896 |
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| 0321531 | BENTLEY TRADING GROUP INC | 10/12/2006 | | 0346896 | MIZNER FINANCIAL TRADING CORP | 10/12/2006 | | 0322739 | PECK, HEATH | 02/15/2006 | | 0320276 | SCHULTZ, STEVEN EDWARD | 02/15/2006 | | 0293046 | STOKES, MICHAEL LOUIS | 02/15/2006 | | 0282608 | TANNER, HARRY ROBERT JR | 10/12/2006 | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | 10/12/2006 | | 0296786 | ZEDECK, PAUL MARTIN | 02/15/2006 |
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| 0321531 | BENTLEY TRADING GROUP INC | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0346896 | MIZNER FINANCIAL TRADING CORP | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0322739 | PECK, HEATH | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0320276 | SCHULTZ, STEVEN EDWARD | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0293046 | STOKES, MICHAEL LOUIS | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | 0282608 | TANNER, HARRY ROBERT JR | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | 0296786 | ZEDECK, PAUL MARTIN | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. |
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| 0321531 | BENTLEY TRADING GROUP INC | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0346896 | MIZNER FINANCIAL TRADING CORP | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0322739 | PECK, HEATH | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0320276 | SCHULTZ, STEVEN EDWARD | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0293046 | STOKES, MICHAEL LOUIS | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0282608 | TANNER, HARRY ROBERT JR | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0296786 | ZEDECK, PAUL MARTIN | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0321531 | BENTLEY TRADING GROUP INC | • SALES PRACTICE | | 0346896 | MIZNER FINANCIAL TRADING CORP | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0322739 | PECK, HEATH | • SALES PRACTICE | | 0320276 | SCHULTZ, STEVEN EDWARD | • SALES PRACTICE | | 0293046 | STOKES, MICHAEL LOUIS | • SALES PRACTICE | | 0282608 | TANNER, HARRY ROBERT JR | • SALES PRACTICE | | | | • GENERAL CONDUCT | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0296786 | ZEDECK, PAUL MARTIN | • GENERAL CONDUCT | | | | • SALES PRACTICE |
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| 0321531 | BENTLEY TRADING GROUP INC | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/27/2006 | | | | • FINE (JOINTLY AND SEVERALLY) $ | 09/27/2006 | | 0346896 | MIZNER FINANCIAL TRADING CORP | • EXPELLED FROM MEMBERSHIP | 09/27/2006 | | | | • FINE (JOINTLY AND SEVERALLY) $100000 | 09/27/2006 | | 0322739 | PECK, HEATH | • FINE $5000 | 01/31/2006 | | | | • REQUIRED TO TAPE RECORD 6 MTHS | 01/31/2006 | | 0320276 | SCHULTZ, STEVEN EDWARD | • TEMPORARY BAR FROM NFA MEMBERSHIP 3 MTHS | 01/31/2006 | | | | • REQUIRED TO TAPE RECORD 6 MTHS | 01/31/2006 | | 0293046 | STOKES, MICHAEL LOUIS | • FINE $7500 | 01/31/2006 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 6 MTHS | 01/31/2006 | | | | • REQUIRED TO TAPE RECORD 6 MTHS | 01/31/2006 | | 0282608 | TANNER, HARRY ROBERT JR | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 09/27/2006 | | | | • FINE (JOINTLY AND SEVERALLY) $ | 09/27/2006 | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | • PERMANENT BAR FROM NFA MEMBERSHIP | 09/27/2006 | | | | • FINE (JOINTLY AND SEVERALLY) $ | 09/27/2006 | | 0296786 | ZEDECK, PAUL MARTIN | • REQUIRED TO TAPE RECORD 6 MTHS | 01/31/2006 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS | 01/31/2006 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On September 27, 2006, Bentley, TFT and Mizner were permanently expelled from NFA membership and Tanner was permanently expelled from association with any NFA Member. In addition, Bentley, TFT, Mizner and Tanner were ordered to pay a $100,000 fine and are jointly and severally liable for full payment of the fine. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On September 27, 2006, Bentley, TFT and Mizner were permanently expelled from NFA membership and Tanner was permanently expelled from association with any NFA Member. In addition, Bentley, TFT, Mizner and Tanner were ordered to pay a $100,000 fine and are jointly and severally liable for full payment of the fine. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On January 31, 2006, Peck was ordered to pay a $5,000 fine. In addition, Peck was ordered to tape record any and all conversations that he has with customers or prospective customers for six months. He must promptly produce to NFA any and all recordings required to be created in a manner in which the participants and dates of the conversations can be readily identified. Only periods during which Peck is an NFA Member or an Associate of an NFA Member will be counted toward fulfillment of this obligation. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On January 31, 2006, Schultz was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member for three months. In addition, Schultz was ordered to tape record any and all conversations that he has with customers or prospective customers for six months. He must promptly produce to NFA any and all recordings required to be created in a manner in which the participants and dates of the conversations can be readily identified. Only periods during which Schultz is an NFA Member or an Associate of an NFA Member will be counted toward fulfillment of this obligation. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On January 31, 2006, Stokes was ordered to terminate Associate status with any NFA Member and not to apply for NFA membership, associate membership or principal status with any NFA Member for six months. Stokes was also ordered to pay a $7,500 fine within thirty days after he becomes registered as an AP. In addition, Stokes was ordered to tape record any and all conversations that he has with customers or prospective customers for six months. He must promptly produce to NFA any and all recordings required to be created in a manner in which the participants and dates of the conversations can be readily identified. Only periods during which Stokes is an NFA Member or an Associate of an NFA Member will be counted toward fulfillment of this obligation. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On September 27, 2006, Bentley, TFT and Mizner were permanently expelled from NFA membership and Tanner was permanently expelled from association with any NFA Member. In addition, Bentley, TFT, Mizner and Tanner were ordered to pay a $100,000 fine and are jointly and severally liable for full payment of the fine. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On September 27, 2006, Bentley, TFT and Mizner were permanently expelled from NFA membership and Tanner was permanently expelled from association with any NFA Member. In addition, Bentley, TFT, Mizner and Tanner were ordered to pay a $100,000 fine and are jointly and severally liable for full payment of the fine. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz with making deceptive and misleading sales solicitations. In addition, the Complaint charged TFT, Mizner, Stokes and Zedeck with using a high-pressure approach. The Complaint charged TFT, Mizner, Tanner and Zedeck with failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
ANSWER -
On July 27, 2005, Bentley, TFT, Mizner, Tanner, Stokes, Zedeck, Peck and Schultz filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION -
On January 31, 2006, Zedeck was ordered not to apply for NFA membership, associate membership or principal status with any NFA Member for three years. In addition, Zedeck was ordered to tape record any and all conversations that he has with customers or prospective customers for six months. He must promptly produce to NFA any and all recordings required to be created in a manner in which the participants and dates of the conversations can be readily identified. Only periods during which Zedeck is an NFA Member or an Associate of an NFA Member will be counted toward fulfillment of this obligation. This Decision is in conjunction with NFA Case No. 04-BCC-015 | | |
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| 0321531 | BENTLEY TRADING GROUP INC | ANSWER | | 0321531 | BENTLEY TRADING GROUP INC | COMPLAINT | | 0321531 | BENTLEY TRADING GROUP INC | DECISION | | 0346896 | MIZNER FINANCIAL TRADING CORP | ANSWER | | 0346896 | MIZNER FINANCIAL TRADING CORP | COMPLAINT | | 0346896 | MIZNER FINANCIAL TRADING CORP | DECISION | | 0322739 | PECK, HEATH | ANSWER | | 0322739 | PECK, HEATH | COMPLAINT | | 0322739 | PECK, HEATH | DECISION | | 0320276 | SCHULTZ, STEVEN EDWARD | ANSWER | | 0320276 | SCHULTZ, STEVEN EDWARD | COMPLAINT | | 0320276 | SCHULTZ, STEVEN EDWARD | DECISION | | 0293046 | STOKES, MICHAEL LOUIS | ANSWER | | 0293046 | STOKES, MICHAEL LOUIS | COMPLAINT | | 0293046 | STOKES, MICHAEL LOUIS | DECISION | | 0282608 | TANNER, HARRY ROBERT JR | ANSWER | | 0282608 | TANNER, HARRY ROBERT JR | COMPLAINT | | 0282608 | TANNER, HARRY ROBERT JR | DECISION | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | ANSWER | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | COMPLAINT | | 0339938 | TERRANOVA FINANCIAL TRADING CORP | DECISION | | 0296786 | ZEDECK, PAUL MARTIN | ANSWER | | 0296786 | ZEDECK, PAUL MARTIN | COMPLAINT | | 0296786 | ZEDECK, PAUL MARTIN | DECISION |
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