| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Deny Registration:
On September 2, 2008, NFA's President issued a Notice of Intent to Deny Registration to Patrick J. McManus. The Notice of Intent alleges that McManus is disqualified from registration under Section 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 September 17, 2008, McManus filed his Response to the Notice of Intent wherein he does not deny the allegation that he is disqualified from registration but requests a hearing before NFA's Membership Committee to present evidence in support of his request for registration. To view the Response, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Withdrawal of Notice of Intent:
On November 19, 2009, NFA's Membership Committee authorized the issuance of a Withdrawal of Notice of Intent to McManus. NFA's Membership Committee determined that further proceedings pertaining to McManus were not warranted because on Novmeber 12, 2009, his pending floor broker registration was withdrawn after his pending exchange trading privileges were terminated effective October 21, 2009.
Under these circumstances, NFA's Membership Committee determined that further proceedings pertaining to McManus are not warranted at this time and the Notice of Intent is accordingly withdrawn. Further, the Membership Committee determined that the Final Order Granting Conditional Registration issued to McManus on October 20, 2009 is rescinded since McManus's registration was withdrawn before the Final Order became effective.
The Withdrawal of Notice of Intent becomes effective on December 23, 2009. To view the Withdrawal of Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center. |