|COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST:
Notice of Intent to Revoke Registration:
On July 23, 2009, NFA's President issued a Notice of Intent to Revoke Registration to Lusay A. Wooten. The Notice of Intent alleges that Wooten is disqualified from registration under Section 8a(3)(M) 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 August 10, 2009, Wooten, through her attorney, filed a Response to the Notice of Intent in which she denies the allegations contained therein. Wooten represents that notwithstanding the allegations, her registration does not pose a substantial risk to the public. To view Wooten's Response, go to Case Documents. To obtain a copy, contact NFA's Information Center.
On March 2, 2010, a Subcommittee of NFA's Membership Committee issued a Final Order after a hearing was held. The Subcommittee determined that NFA had not met its burden of showing that Wooten's registration should be revoked,and ordered that her registration not be revoked.
To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center.