| FX TRADING LLC |
NFA 06BCC00001 |
NFA ID: 0348153 |
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| 0348153 | FX TRADING LLC | 06/22/2006 | | 0322123 | KHAN, SHAHERYAR | 06/22/2006 |
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| 0348153 | FX TRADING LLC | • F.R.SEC1NEW - FCM FINANCIAL REQUIREMENTS | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM | | | | • C.R.2-9 - SUPERVISION OF EMPLOYEES | | | | • F.R.SEC8NEW - ADDITIONAL INFORMATION REQUESTS | | | | • F.R.Section 11 - LTM REPORTING | | | | • R.R.208 - CHANGES REQUIRING NEW REGISTRATION | | 0322123 | KHAN, SHAHERYAR | • C.R.2-9 - SUPERVISION OF EMPLOYEES | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS |
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| 0348153 | FX TRADING LLC | • BUSINESS CONDUCT COMMITTEE | | 0322123 | KHAN, SHAHERYAR | • BUSINESS CONDUCT COMMITTEE |
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| 0348153 | FX TRADING LLC | • GENERAL CONDUCT | | | | • FINANCIAL | | | | • REGISTRATION | | | | • OFFICE RECORDKEEPING | | 0322123 | KHAN, SHAHERYAR | • GENERAL CONDUCT |
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| 0348153 | FX TRADING LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/07/2006 | | 0322123 | KHAN, SHAHERYAR | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/07/2006 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On February 28, 2006, NFA issued a Complaint charging FXT with failing to maintain minimum net capital; failing to maintain adequate books and records necessary and appropriate to conduct its business dealings; failing to file financial statements with NFA in a timely manner; failing to file weekly forex reports with NFA in a timely manner; failing to list certain individuals as principals; and failing to maintain an adequate anti-money laundering compliance program. The Complaint also charged FXT and Kahn with willfully submitting materially false or misleading information to NFA and failing to maintain and follow adequate supervisory procedures.
DECISION -
On June 7, 2006, FXT and Khan were permanently barred from NFA membership in any and all capacities. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT -
On February 28, 2006, NFA issued a Complaint charging FXT with failing to maintain minimum net capital; failing to maintain adequate books and records necessary and appropriate to conduct its business dealings; failing to file financial statements with NFA in a timely manner; failing to file weekly forex reports with NFA in a timely manner; failing to list certain individuals as principals; and failing to maintain an adequate anti-money laundering compliance program. The Complaint also charged FXT and Kahn with willfully submitting materially false or misleading information to NFA and failing to maintain and follow adequate supervisory procedures. To view Complaint, go to Case Documents. For a copy of Complaint, contact NFA.
DECISION -
On June 7, 2006, FXT and Khan were permanently barred from NFA membership in any and all capacities. | | |
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