| CITY CAPITAL MANAGEMENT LLC |
NFA 10BCC00001 |
NFA ID: 0400788 |
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| 0400788 | CITY CAPITAL MANAGEMENT LLC | 05/21/2010 | | 0358182 | LEE, JONATHAN | 11/23/2011 |
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| 0400788 | CITY CAPITAL MANAGEMENT LLC | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-41(b) - FOREX TRADING ADVISORS-FILE DISCLOSURE DOCUMENT WITH NFA AND PROVIDE TO CLIENTS | | 0358182 | LEE, JONATHAN | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA |
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| 0400788 | CITY CAPITAL MANAGEMENT LLC | • BUSINESS CONDUCT COMMITTEE | | 0358182 | LEE, JONATHAN | • BUSINESS CONDUCT COMMITTEE |
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| 0400788 | CITY CAPITAL MANAGEMENT LLC | • GENERAL CONDUCT | | 0358182 | LEE, JONATHAN | • GENERAL CONDUCT |
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| 0400788 | CITY CAPITAL MANAGEMENT LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 05/05/2010 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 05/05/2010 | | 0358182 | LEE, JONATHAN | • TEMPORARY BAR FROM NFA ASSOCIATE MEMBERSHIP 3 YRS | 11/08/2011 | | | | • TEMPORARY BAR FROM PRINCIPAL STATUS 3 YRS | 11/08/2011 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 3 YRS | 11/08/2011 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On February 24, 2010, NFA issued a Complaint charging CCM with failing to provide an approved disclosure document to customers. The Complaint charged CCM and Lee with failing to cooperate promptly and fully with NFA.
DECISION:
On May 5, 2010, CCM was permanently barred from NFA membership and from acting as a principal of an NFA Member and permanently barred Lee from NFA membership and associate membership and from acting as a principal of an NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**
COMPLAINT:
On February 24, 2010, NFA issued a Complaint charging CCM with failing to provide an approved disclosure document to customers. The Complaint charged CCM and Lee with failing to cooperate promptly and fully with NFA.
DECISION:
On November 8, 2011, pursuant to a settlement offer submitted by Lee, he was barred from NFA membership, associate membership and from acting as a principal of an NFA Member for three years, effective August 4, 2011. | | |
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