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On September 25, 2009, NFA issued a Complaint charging Mitchell with willfull submission of materially false or misleading information to NFA; use of promotional material that is deceptive and presents unrepresentative performance data; and failure to make required disclosure document amendments.
On November 2, 2009, Mitchell filed an Answer to the Complaint in which he denied the material allegations contained therein.
On March 9, 2010, Mitchell was ordered to immediately withdraw his NFA membership, associate membership and principal status with an NFA Member and not apply for NFA membership, associate membership or principal status with any NFA Member for seven years. If Mitchell does apply for NFA membership, associate membership or principal status with any NFA Member following the expiration of the seven-year period, he was ordered to pay a $20,000 fine, due and payable in full on or before the date of any such application.