| GLOBAL ARENA COMMODITIES CORPORATION |
NFA 13BCC00001 |
NFA ID: 0409315 |
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| 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | | | 0332710 | PIAZZA, JOHN A | |
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| 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | • C.R.2-2 - FRAUD AND RELATED MATTERS | | | | • BLAW1101 - MEMBS MAY NOT DO BUS. W/ NON-MEMBS | | | | • C.R.2-29(b)(1) - USE OF DECEPTIVE PROMO MATER. | | | | • C.R.2-36(b)(1) - CHEAT, DEFRAUD, DECEIVE FOREX CUSTOMERS | | | | • C.R.2-36(d) - FOREX DEALER MEMBERS DOING BUSINESS WITH NON-MEMBERS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-9(c) - ANTI-MONEY LAUNDERING PROGRAM | | | | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | 0332710 | PIAZZA, JOHN A | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | • BUSINESS CONDUCT COMMITTEE | | 0332710 | PIAZZA, JOHN A | • BUSINESS CONDUCT COMMITTEE |
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| 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0332710 | PIAZZA, JOHN A | • GENERAL CONDUCT |
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| | | No penalties have been selected for this case. |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On March 1, 2013, NFA issued a Complaint charging Global Arena with acting as an FCM without being registered in such capacity; using misleading promotional material promoting a third-party system developer's trading programs; failing to adopt appropriate procedures and conduct adequate due diligence to determine whether an entity the firm conducted business with required CFTC registration or NFA membership; and failing to implement an adequate AML program. The Complaint charged Global Arena and Piazza with failing to adequately supervise the firm's employees, agents and its futures and forex operations.
ANSWER:
On April 15, 2013, Global Arena and Piazza filed an Answer to the Complaint in which they denied the material allegations contained therein.
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On March 1, 2013, NFA issued a Complaint charging Global Arena with acting as an FCM without being registered in such capacity; using misleading promotional material promoting a third-party system developer's trading programs; failing to adopt appropriate procedures and conduct adequate due diligence to determine whether an entity the firm conducted business with required CFTC registration or NFA membership; and failing to implement an adequate AML program. The Complaint charged Global Arena and Piazza with failing to adequately supervise the firm's employees, agents and its futures and forex operations.
ANSWER:
On April 15, 2013, Global Arena and Piazza filed an Answer to the Complaint in which they denied the material allegations contained therein.
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| 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | ANSWER | | 0409315 | GLOBAL ARENA COMMODITIES CORPORATION | COMPLAINT | | 0332710 | PIAZZA, JOHN A | ANSWER | | 0332710 | PIAZZA, JOHN A | COMPLAINT |
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