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On April 2, 2012, NFA issued a Complaint charging TMA with failure to timely file quarterly and annual pool reports with NFA.
On April 11, 2012, TMA filed an Answer to the Complaint in which it denied the material allegations contained therein.
On May 8, 2012, pursuant to a settlement offer submitted by TMA, the firm was ordered to withdraw from NFA membership. If TMA again becomes an NFA Member, TMA was ordered to pay a $15,000 fine, payable when its membership is approved.