| ONE WORLD CAPITAL GROUP |
NFA 08BCC00024 |
NFA ID: 0359973 |
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| 0359973 | ONE WORLD CAPITAL GROUP | 01/06/2009 | | 0277351 | WALSH, JOHN EDWARD | 01/06/2009 |
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| 0359973 | ONE WORLD CAPITAL GROUP | • F.R.SEC11NEW - FDM FINANCIAL REQUIREMENTS | | | | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • C.R.2-36(c) - FOREX DEALER MEMBERS OBSERVE HIGH STDS OF COMMERCIAL HONOR | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • C.R.2-36(b)(5) - FDMs NOT SUBMIT FALSE OR MISLEADING INFORMATION TO NFA | | 0277351 | WALSH, JOHN EDWARD | • F.R.SEC11NEW - FDM FINANCIAL REQUIREMENTS | | | | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • C.R.2-36(c) - FOREX DEALER MEMBERS OBSERVE HIGH STDS OF COMMERCIAL HONOR | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • C.R.2-36(b)(5) - FDMs NOT SUBMIT FALSE OR MISLEADING INFORMATION TO NFA |
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| 0359973 | ONE WORLD CAPITAL GROUP | • BUSINESS CONDUCT COMMITTEE | | 0277351 | WALSH, JOHN EDWARD | • BUSINESS CONDUCT COMMITTEE |
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| 0359973 | ONE WORLD CAPITAL GROUP | • OFFICE RECORDKEEPING | | | | • GENERAL CONDUCT | | | | • FINANCIAL | | | | • SALES PRACTICE | | 0277351 | WALSH, JOHN EDWARD | • OFFICE RECORDKEEPING | | | | • GENERAL CONDUCT | | | | • FINANCIAL | | | | • SALES PRACTICE |
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| 0359973 | ONE WORLD CAPITAL GROUP | • PERMANENT BAR FROM NFA MEMBERSHIP | 12/22/2008 | | 0277351 | WALSH, JOHN EDWARD | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 12/22/2008 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On September 26, 2008, NFA issued a Complaint charging One World and Walsh with failing to cooperate with NFA in an investigation of One World's activities; failing to maintain current books and records; providing false and misleading information to NFA; failing to uphold high standards of commercial honor and just and equitable principles of trade; failing to supervise One World's financial condition, or its preparation and maintenance of required books and records; and failing to maintain required minimum adjusted net capital.
DECISION:
On December 22, 2008, One World and Walsh were permanently barred from NFA membership and associate membership, respectively.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On September 26, 2008, NFA issued a Complaint charging One World and Walsh with failing to cooperate with NFA in an investigation of One World's activities; failing to maintain current books and records; providing false and misleading information to NFA; failing to uphold high standards of commercial honor and just and equitable principles of trade; failing to supervise One World's financial condition, or its preparation and maintenance of required books and records; and failing to maintain required minimum adjusted net capital.
DECISION:
On December 22, 2008, One World and Walsh were permanently barred from NFA membership and associate membership, respectively.
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