| JMJ CAPITAL GROUP LLC |
NFA 08BCC00031 |
NFA ID: 0395224 |
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| 0395275 | CARNICER, RAFAEL | 04/09/2009 | | 0395274 | GARCIA, JOEL | 04/09/2009 | | 0395224 | JMJ CAPITAL GROUP LLC | 04/09/2009 |
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| 0395275 | CARNICER, RAFAEL | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0395274 | GARCIA, JOEL | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0395224 | JMJ CAPITAL GROUP LLC | • C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0395275 | CARNICER, RAFAEL | • BUSINESS CONDUCT COMMITTEE | | 0395274 | GARCIA, JOEL | • BUSINESS CONDUCT COMMITTEE | | 0395224 | JMJ CAPITAL GROUP LLC | • BUSINESS CONDUCT COMMITTEE |
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| 0395275 | CARNICER, RAFAEL | • GENERAL CONDUCT | | 0395274 | GARCIA, JOEL | • GENERAL CONDUCT | | 0395224 | JMJ CAPITAL GROUP LLC | • GENERAL CONDUCT |
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| 0395275 | CARNICER, RAFAEL | • FINE (CONTINGENT) $25000 | 03/25/2009 | | | | • TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 90 DAYS | 03/25/2009 | | | | • TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 90 DAYS | 03/25/2009 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 90 DAYS | 03/25/2009 | | 0395274 | GARCIA, JOEL | • TEMPORARY WITHDRAWAL FROM NFA ASSOCIATE MEMBERSHIP 90 DAYS | 03/25/2009 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 90 DAYS | 03/25/2009 | | | | • TEMPORARY WITHDRAWAL FROM PRINCIPAL STATUS 90 DAYS | 03/25/2009 | | | | • FINE (CONTINGENT) $25000 | 03/25/2009 | | 0395224 | JMJ CAPITAL GROUP LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 03/25/2009 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 03/25/2009 | | | | • WITHDRAW FROM MEMBERSHIP PERM | 03/25/2009 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 12, 2008, NFA issued a Complaint charging JMJ with failure to prepare, distribute and maintain required reports and records. The Complaint also charged JMJ, Garcia and Carnicer with failure to cooperate in an NFA investigation and failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
DECISION:
On March 25, 2009, JMJ was ordered to withdraw its NFA membership and not apply for NFA membership or principal status with any NFA Member in the future. Garcia and Carnicer were each ordered to withdraw their Associate NFA membership and their principal status with an NFA Member and not apply for NFA membership, Associate NFA membership or principal status with any NFA Member for ninety days from the date of their withdrawal. In the event that Garcia and Carnicer attains NFA membership, Associate membership or principal status with any NFA Member in the future, they were each ordered to pay a $25,000 fine due in full within thirty days of attaining any such status. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 12, 2008, NFA issued a Complaint charging JMJ with failure to prepare, distribute and maintain required reports and records. The Complaint also charged JMJ, Garcia and Carnicer with failure to cooperate in an NFA investigation and failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
DECISION:
On March 25, 2009, JMJ was ordered to withdraw its NFA membership and not apply for NFA membership or principal status with any NFA Member in the future. Garcia and Carnicer were each ordered to withdraw their Associate NFA membership and their principal status with an NFA Member and not apply for NFA membership, Associate NFA membership or principal status with any NFA Member for ninety days from the date of their withdrawal. In the event that Garcia and Carnicer attains NFA membership, Associate membership or principal status with any NFA Member in the future, they were each ordered to pay a $25,000 fine due in full within thirty days of attaining any such status. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On December 12, 2008, NFA issued a Complaint charging JMJ with failure to prepare, distribute and maintain required reports and records. The Complaint also charged JMJ, Garcia and Carnicer with failure to cooperate in an NFA investigation and failing to diligently supervise employees and agents in the conduct of their commodity futures activities.
DECISION:
On March 25, 2009, JMJ was ordered to withdraw its NFA membership and not apply for NFA membership or principal status with any NFA Member in the future. Garcia and Carnicer were each ordered to withdraw their Associate NFA membership and their principal status with an NFA Member and not apply for NFA membership, Associate NFA membership or principal status with any NFA Member for ninety days from the date of their withdrawal. In the event that Garcia and Carnicer attains NFA membership, Associate membership or principal status with any NFA Member in the future, they were each ordered to pay a $25,000 fine due in full within thirty days of attaining any such status. | | |
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