| PIONEER COMMODITIES LLC |
NFA 09BCC00003 |
NFA ID: 0363167 |
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| 0340915 | BOBBA, ANTHONY SCOTT | 09/11/2009 | | 0363167 | PIONEER COMMODITIES LLC | 09/11/2009 |
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| 0340915 | BOBBA, ANTHONY SCOTT | • C.R.2-9 - SUPERVISION OF EMPLOYEES | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | 0363167 | PIONEER COMMODITIES LLC | • C.R.2-9 - SUPERVISION OF EMPLOYEES | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR |
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| 0340915 | BOBBA, ANTHONY SCOTT | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0363167 | PIONEER COMMODITIES LLC | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE |
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| 0340915 | BOBBA, ANTHONY SCOTT | • GENERAL CONDUCT | | 0363167 | PIONEER COMMODITIES LLC | • GENERAL CONDUCT |
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| 0340915 | BOBBA, ANTHONY SCOTT | • TEMPORARY BAR FROM NFA MEMBERSHIP 24 MTHS | 08/27/2009 | | | | • TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 24 MTHS | 08/27/2009 | | | | • TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 36 MTHS | 08/27/2009 | | 0363167 | PIONEER COMMODITIES LLC | • PERMANENT BAR FROM PRINCIPAL STATUS | 08/27/2009 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 08/27/2009 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On March 16, 2009, NFA issued a Complaint charging Pioneer and Bobba with acting with reckless indifference and failing to adequately supervise.
ANSWER:
On April 20, 2009, Pioneer and Bobba filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On August 27, 2009, Pioneer was ordered to immediately withdraw from NFA membership and is permanently barred from NFA membership and from acting as a principal of an NFA Member. Bobba was ordered to immediately withdraw from NFA associate membership and as a principal of Pioneer and not apply for NFA membership or associate membership for 24 months, or act as a principal of an NFA Member for 36 months.
If, after the 24-month membership bar, Bobba applies for NFA membership or associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $25,000 fine, due and payable at the time he makes such application. Until such time as Bobba pays this fine in full, no action will be taken to process his application. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On March 16, 2009, NFA issued a Complaint charging Pioneer and Bobba with acting with reckless indifference and failing to adequately supervise.
ANSWER:
On April 20, 2009, Pioneer and Bobba filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On August 27, 2009, Pioneer was ordered to immediately withdraw from NFA membership and is permanently barred from NFA membership and from acting as a principal of an NFA Member. Bobba was ordered to immediately withdraw from NFA associate membership and as a principal of Pioneer and not apply for NFA membership or associate membership for 24 months, or act as a principal of an NFA Member for 36 months.
If, after the 24-month membership bar, Bobba applies for NFA membership or associate membership, or seeks to become a principal of an NFA Member, he was ordered to pay a $25,000 fine, due and payable at the time he makes such application. Until such time as Bobba pays this fine in full, no action will be taken to process his application. | | |
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