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Case Summary

CAPITAL VENTURE HOLDINGS LLC

NFA 12BCC00022

NFA ID: 0407805

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0407805	CAPITAL VENTURE HOLDINGS LLC	08/23/2012

Rule Summary

NFA ID	Respondent	Rule Type
0407805	CAPITAL VENTURE HOLDINGS LLC	• C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS
		• C.R.2-46 - CPO QUARTERLY REPORTING REQUIREMENTS

Committee Summary

NFA ID	Respondent	Committee
0407805	CAPITAL VENTURE HOLDINGS LLC	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0407805	CAPITAL VENTURE HOLDINGS LLC	• GENERAL CONDUCT
		• FINANCIAL POSITION AND REPORTING

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0407805	CAPITAL VENTURE HOLDINGS LLC	• FINE (CONTINGENT) $15000	08/08/2012
		• WITHDRAW FROM MEMBERSHIP	08/08/2012

Narrative Summary

Narrative for 0407805 - CAPITAL VENTURE HOLDINGS LLC

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**

COMPLAINT:

On June 29, 2012, NFA issued a Complaint charging Capital Venture Holdings with failure to timely file pool reports with NFA.

DECISION:

On August 8, 2012, pursuant to a settlement offer submitted by Capital Venture, the firm was ordered to withdraw from NFA membership effective on the date of the Decision. If Capital Venture again becomes an NFA Member, it was ordered to pay a $15,000 fine, payable when its NFA membership is approved.

Case Documents Summary

NFA ID	Respondent	Document Type
0407805	CAPITAL VENTURE HOLDINGS LLC	COMPLAINT
0407805	CAPITAL VENTURE HOLDINGS LLC	DECISION

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