| EDWARD GEORGE ANDERSON |
NFA 09BCC00011 |
NFA ID: 0394977 |
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| 0388715 | ACM USA LLC | 10/13/2009 | | 0394977 | ANDERSON, EDWARD GEORGE | 10/13/2009 |
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| 0388715 | ACM USA LLC | • F.R.SEC1NEW - FCM FINANCIAL REQUIREMENTS | | 0394977 | ANDERSON, EDWARD GEORGE | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA |
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| 0388715 | ACM USA LLC | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0394977 | ANDERSON, EDWARD GEORGE | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0388715 | ACM USA LLC | • FINANCIAL | | 0394977 | ANDERSON, EDWARD GEORGE | • GENERAL CONDUCT |
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| 0388715 | ACM USA LLC | • FINE $10000 | 09/25/2009 | | 0394977 | ANDERSON, EDWARD GEORGE | • FINE (CONTINGENT) $5000 | 09/25/2009 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 1 YRS | 09/25/2009 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 10, 2009, NFA issued a Complaint alleging that ACM failed to file required financial reports in a timely manner. The Complaint also alleged that Anderson failed to supervise ACM's operations.
ANSWER:
On June 29, 2009, ACM filed an Answer to the Complaint in which it denied the material allegations contained therein.
DECISION:
On September 25, 2009, ACM was ordered to pay a $10,000 fine.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On June 10, 2009, NFA issued a Complaint alleging that ACM failed to file required financial reports in a timely manner. The Complaint also alleged that Anderson failed to supervise ACM's operations.
ANSWER:
On June 30, 2009, Anderson filed an Answer to the Complaint in which he denied the material allegations contained therein.
DECISION:
On September 25, 2009, Anderson was ordered to refrain from being a principal of an NFA Member for one year; or, alternatively, if Anderson elects to become a principal of an NFA Member during the one-year period, then he was ordered to pay a $5,000 fine to NFA within thirty days of becoming a principal. | | |
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