| COMMODITY FUTURES CONSULTANTS CORP |
NFA 08BCC00016 |
NFA ID: 0356537 |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | 02/25/2009 | | 0337542 | DUNCANSON, JAMIE SHEA | 02/25/2009 |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0337542 | DUNCANSON, JAMIE SHEA | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0337542 | DUNCANSON, JAMIE SHEA | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | • GENERAL CONDUCT | | 0337542 | DUNCANSON, JAMIE SHEA | • GENERAL CONDUCT |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | • PERMANENT BAR FROM NFA MEMBERSHIP | 02/10/2009 | | | | • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP | 02/10/2009 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 02/10/2009 | | 0337542 | DUNCANSON, JAMIE SHEA | • TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 5 YRS | 02/10/2009 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 5 YRS | 02/10/2009 | | | | • TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 5 YRS | 02/10/2009 |
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| **TO VIEW ANSWER AND DECISION, GO TO CASE DOCUMENTS**
COMPLAINT:
On June 30, 2008, NFA issued a Complaint charging CFCC with failure to supervise and Duncanson with failure to implement an anti-money laundering program.
ANSWER:
On July 30, 2008, CFCC and Duncanson filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On February 10, 2009, CFCC was ordered to withdraw from NFA membership and never again apply for NFA membership or principal status with any NFA Member. Duncanson was ordered to withdraw from NFA associate membership and principal status with any and all NFA Members and not apply for NFA membership, NFA associate membership and/or principal status with any NFA Member for five years from the date of her withdrawal. | | | |
| **TO VIEW ANSWER AND DECISION, GO TO CASE DOCUMENTS**
COMPLAINT:
On June 30, 2008, NFA issued a Complaint charging CFCC with failure to supervise and Duncanson with failure to implement an anti-money laundering program.
ANSWER:
On July 30, 2008, CFCC and Duncanson filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On February 10, 2009, CFCC was ordered to withdraw from NFA membership and never again apply for NFA membership or principal status with any NFA Member. Duncanson was ordered to withdraw from NFA associate membership and principal status with any and all NFA Members and not apply for NFA membership, NFA associate membership and/or principal status with any NFA Member for five years from the date of her withdrawal. | | |
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| 0356537 | COMMODITY FUTURES CONSULTANTS CORP | DECISION | | 0337542 | DUNCANSON, JAMIE SHEA | DECISION |
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