| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Deny Registration:
On March 4, 2009, NFA's President issued a Notice of Intent to Deny Registration to Nik Yarak. The Notice of Intent alleged that Yarak is disqualified from registration under Sections 8a(3)(D) and 8a(2)(G) of the Commodity Exchange Act. To view the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Response to Notice of Intent:
On March 25, 2009, Yarak, through his attorney, filed a Response to the Notice of Intent. Notwithstanding the allegations contained in the Notice of Intent, Yarak intends to provide evidence to support his request for a conditioned registration. To view Yarak's Response to the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Granting Conditional Registration:
On July 31, 2009, a Subcommittee of NFA's Membership Committee issued a Final Order Granting Conditional Registration to Yarak. The Subcommittee accepted Yarak's settlement offer and ordered that his AP registration be granted subject to conditions for a period of one year. This Final Order becomes effective on August 31, 2009. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center. |