| CAPITAL FX LLC |
NFA 09BCC00053 |
NFA ID: 0379515 |
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| 0379515 | CAPITAL FX LLC | 02/18/2010 | | 0390465 | PECORD, ROBERT WAYNE | 02/18/2010 |
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| 0379515 | CAPITAL FX LLC | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS | | | | • C.R.2-41(b) - FOREX TRADING ADVISORS-FILE DISCLOSURE DOCUMENT WITH NFA AND PROVIDE TO CLIENTS | | 0390465 | PECORD, ROBERT WAYNE | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA |
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| 0379515 | CAPITAL FX LLC | • BUSINESS CONDUCT COMMITTEE | | 0390465 | PECORD, ROBERT WAYNE | • BUSINESS CONDUCT COMMITTEE |
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| 0379515 | CAPITAL FX LLC | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0390465 | PECORD, ROBERT WAYNE | • GENERAL CONDUCT |
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| 0379515 | CAPITAL FX LLC | • PERMANENT BAR FROM PRINCIPAL STATUS | 02/03/2010 | | | | • PERMANENT WITHDRAWAL FROM NFA MEMBERSHIP | 02/03/2010 | | 0390465 | PECORD, ROBERT WAYNE | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 02/03/2010 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 02/03/2010 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 02/03/2010 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 9, 2009, NFA issued a Complaint charging CFX and Pecord with providing false or misleading information to NFA and failure to cooperate in an NFA investigation. The Complaint also charged CFX with using an inaccurate or incomplete disclosure document and cheating, defrauding or deceiving another person or attempting to do so.
DECISON:
On February 3, 2010, CFX was ordered to withdraw its NFA membership and not apply for NFA membership or principal status with any NFA Member at any time in the future. Pecord was ordered to withdraw his NFA membership and principal status with an NFA Member and not apply for NFA membership, associate NFA membership or principal status with any NFA Member at any time in the future. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 9, 2009, NFA issued a Complaint charging CFX and Pecord with providing false or misleading information to NFA and failure to cooperate in an NFA investigation. The Complaint also charged CFX with using an inaccurate or incomplete disclosure document and cheating, defrauding or deceiving another person or attempting to do so.
DECISON:
On February 3, 2010, CFX was ordered to withdraw its NFA membership and not apply for NFA membership or principal status with any NFA Member at any time in the future. Pecord was ordered to withdraw his NFA membership and principal status with an NFA Member and not apply for NFA membership, associate NFA membership or principal status with any NFA Member at any time in the future. | | |
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