| CROSBY WOOD |
NFA 12BCC00014 |
NFA ID: 0412009 |
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| 0411549 | SUREINVESTMENT LLC | 06/28/2012 | | 0412309 | WILSON, BENJAMIN | 06/28/2012 | | 0412009 | WOOD, CROSBY | 07/03/2012 |
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| 0411549 | SUREINVESTMENT LLC | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR | | | | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-10 - RECORDKEEPING FCMS/IBS | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • R.R.210(a) - CORRECT DEFICIENCIES IN FORM 7-R | | 0412309 | WILSON, BENJAMIN | • R.R.210(a) - CORRECT DEFICIENCIES IN FORM 7-R | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0412009 | WOOD, CROSBY | • C.R.2-5 - FAILURE TO COOPERATE W/ NFA | | | | • C.R.2-2(f) - FALSE INFORMATION TO NFA/AGENTS | | | | • C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR |
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| 0411549 | SUREINVESTMENT LLC | • BUSINESS CONDUCT COMMITTEE | | 0412309 | WILSON, BENJAMIN | • BUSINESS CONDUCT COMMITTEE | | 0412009 | WOOD, CROSBY | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0411549 | SUREINVESTMENT LLC | • GENERAL CONDUCT | | | | • OFFICE RECORDKEEPING | | | | • REGISTRATION | | 0412309 | WILSON, BENJAMIN | • GENERAL CONDUCT | | | | • REGISTRATION | | 0412009 | WOOD, CROSBY | • GENERAL CONDUCT |
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| 0411549 | SUREINVESTMENT LLC | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/12/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 06/12/2012 | | 0412309 | WILSON, BENJAMIN | • PERMANENT BAR FROM PRINCIPAL STATUS | 06/12/2012 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/12/2012 | | | | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 06/12/2012 | | 0412009 | WOOD, CROSBY | • PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP | 06/18/2012 | | | | • PERMANENT BAR FROM PRINCIPAL STATUS | 06/18/2012 | | | | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/18/2012 | | | | • WITHDRAW FROM NFA ASSOCIATE MEMBERSHIP | 06/18/2012 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On April 13, 2012, NFA issued a Complaint charging SureInvestment and Wood with submitting false and misleading information to NFA; misappropriating customer funds; failing to disclose to customers and investors the true nature of SureInvestment's financial condition; and failing to cooperate with NFA. The Complaint also charged SureInvestment with failing to maintain current and accurate books and records. Finally, the Complaint charged SureInvestment and Wilson with failing to disclose an FSA action to NFA and failing to supervise.
DECISION:
On June 13, 2012, SureInvestment was permanently barred from NFA membership and from acting as a principal of an NFA Member, and Wilson was permanently barred from NFA membership and associate membership and from acting as a principal of an NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On April 13, 2012, NFA issued a Complaint charging SureInvestment and Wood with submitting false and misleading information to NFA; misappropriating customer funds; failing to disclose to customers and investors the true nature of SureInvestment's financial condition; and failing to cooperate with NFA. The Complaint also charged SureInvestment with failing to maintain current and accurate books and records. Finally, the Complaint charged SureInvestment and Wilson with failing to disclose an FSA action to NFA and failing to supervise.
DECISION:
On June 13, 2012, SureInvestment was permanently barred from NFA membership and from acting as a principal of an NFA Member, and Wilson was permanently barred from NFA membership and associate membership and from acting as a principal of an NFA Member. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On April 13, 2012, NFA issued a Complaint charging SureInvestment and Wood with submitting false and misleading information to NFA; misappropriating customer funds; failing to disclose to customers and investors the true nature of SureInvestment's financial condition; and failing to cooperate with NFA. The Complaint also charged SureInvestment with failing to maintain current and accurate books and records. Finally, the Complaint charged SureInvestment and Wilson with failing to disclose an FSA action to NFA and failing to supervise.
ANSWER:
On May 25, 2012, Wood filed an Answer to the Complaint in which he denied the material allegations contained therein.
DECISION:
On June 18, 2012, pursuant to a settlement offer submitted by Wood, he was ordered to permanently withdraw from NFA associate membership within 30 days. Wood was also permanently barred from NFA membership, associate membership and principal status with any NFA Member.
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