| BASIL ROBERT FAYADH |
NFA 12BCC00027 |
NFA ID: 0404760 |
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| 0435908 | BKT CAPITAL MANAGEMENT LLC | 10/16/2012 | | 0404760 | FAYADH, BASIL ROBERT | 10/16/2012 |
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| 0435908 | BKT CAPITAL MANAGEMENT LLC | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | 0404760 | FAYADH, BASIL ROBERT | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS |
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| 0435908 | BKT CAPITAL MANAGEMENT LLC | • BUSINESS CONDUCT COMMITTEE | | 0404760 | FAYADH, BASIL ROBERT | • BUSINESS CONDUCT COMMITTEE |
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| 0435908 | BKT CAPITAL MANAGEMENT LLC | • GENERAL CONDUCT | | 0404760 | FAYADH, BASIL ROBERT | • GENERAL CONDUCT |
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| 0435908 | BKT CAPITAL MANAGEMENT LLC | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 10/01/2012 | | | | • WITHDRAW FROM MEMBERSHIP | 10/01/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 10/01/2012 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 10/01/2012 | | 0404760 | FAYADH, BASIL ROBERT | • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP | 10/01/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 10/01/2012 | | | | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 10/01/2012 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 10/01/2012 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On October 1, 2012, NFA issued a Complaint charging BKT Capital and Fayadh with failing to cooperate promptly and fully with NFA during the course of its examination and investigation of BKT Capital and willfully providing false and misleading information to NFA.
DECISION:
On October 1, 2012, pursuant to a settlement offer submitted by BKT Capital and Fayadh, they were ordered to withdraw from NFA membership and associate membership, respectively, within 30 days of the date of the Decision. BKT Capital and Fayadh were further ordered to never again apply for NFA membership, associate membership and principal status with any NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On October 1, 2012, NFA issued a Complaint charging BKT Capital and Fayadh with failing to cooperate promptly and fully with NFA during the course of its examination and investigation of BKT Capital and willfully providing false and misleading information to NFA.
DECISION:
On October 1, 2012, pursuant to a settlement offer submitted by BKT Capital and Fayadh, they were ordered to withdraw from NFA membership and associate membership, respectively, within 30 days of the date of the Decision. BKT Capital and Fayadh were further ordered to never again apply for NFA membership, associate membership and principal status with any NFA Member. | | |
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