| Notice of Intent to Deny Registration:
On August 27, 2009, NFA issued a Notice of Intent to deny Connor's floor broker registration, charging that his failure to disclose his 2002 guilty plea to a misdemeanor theft offense disqualified him from registration.
Final Order Granting Conditional Registration:
On August 27, 2009, NFA's Membership Committee issued a Final Order accepting Connor's 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. |