| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Deny Registration:
On October 28, 2008, NFA's President issued a Notice of Intent to Deny Registration to Leo Petralia. The Notice of Intent alleges that Petralia is disqualified from registration under Section 8a(3)(E)(iii) and 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 November 17, 2008, Petralia filed a Response to the Notice of Intent and requested a hearing before NFA's Membership Committee. To view the Response, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Denying Registration:
On July 30, 2009, NFA's Membership Committee issued a Final Order denying Petralia's registration after a hearing was held. The Committee found that Petralia failed to show by clear and convincing evidence that his registration would pose no substantial to the public.
To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center. |