| CC TRADING COMPANY LLC |
NFA 11BCC00023 |
NFA ID: 0388035 |
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| 0388035 | CC TRADING COMPANY LLC | 01/03/2013 | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | 01/03/2013 |
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| 0388035 | CC TRADING COMPANY LLC | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • F.R.SEC5NEW - INTRODUCING BROKER FINANCIAL REQUIREMENTS | | | | • F.R.SEC4NEW - VIOLATING CFTC REGULATIONS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR |
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| 0388035 | CC TRADING COMPANY LLC | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0388035 | CC TRADING COMPANY LLC | • FINANCIAL | | | | • OFFICE RECORDKEEPING | | | | • GENERAL CONDUCT | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | • GENERAL CONDUCT |
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| 0388035 | CC TRADING COMPANY LLC | • FINE (JOINTLY AND SEVERALLY) $15000 | 12/19/2012 | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | • FINE (JOINTLY AND SEVERALLY) $15000 | 12/19/2012 |
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| COMPLAINT:
On September 1, 2011, NFA issued a Complaint charging CC Trading with failure to keep accurate financial records, comply with the equity withdrawal restriction, maintain required minimum ANC and file telegraphic notice; and failure to implement an adequate AML program. The Complaint also charged CC Trading and Craddock with failure to observe high standards of commercial honor and just and equitable principles of trade and failure to supervise.
ANSWER:
On October 17, 2011, CC Trading and Craddock filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On December 19, 2012, pursuant to a settlement offer submitted by CC Trading and Craddock, CC Trading and Craddock were ordered to pay a $15,000 fine.
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| COMPLAINT:
On September 1, 2011, NFA issued a Complaint charging CC Trading with failure to keep accurate financial records, comply with the equity withdrawal restriction, maintain required minimum ANC and file telegraphic notice; and failure to implement an adequate AML program. The Complaint also charged CC Trading and Craddock with failure to observe high standards of commercial honor and just and equitable principles of trade and failure to supervise.
ANSWER:
On October 17, 2011, CC Trading and Craddock filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On December 19, 2012, pursuant to a settlement offer submitted by CC Trading and Craddock, CC Trading and Craddock were ordered to pay a $15,000 fine.
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| 0388035 | CC TRADING COMPANY LLC | ANSWER | | 0388035 | CC TRADING COMPANY LLC | COMPLAINT | | 0388035 | CC TRADING COMPANY LLC | DECISION | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | ANSWER | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | COMPLAINT | | 0327801 | CRADDOCK, CHRISTOPHER JOHN | DECISION |
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