| Notice of Intent to Deny Registration:
On August 18, 2009, NFA issued a Notice of Intent to deny Thomas' floor broker registration, charging that his failure to disclose his 1995 guilty plea to a misdemeanor theft offense disqualified him from registration.
Final Order Granting Conditional Registration:
On August 18, 2009, NFA's Membership Committee issued a Final Order accepting Thomas' settlement offer and granting him registration subject to conditions for two years.
To view these documents, go to Case Documents. To obtain copies, contact NFA's Information Center. |