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Case Summary

TMA ASSET MANAGEMENT LLC

NFA 12BCC00011

NFA ID: 0417320

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0417320	TMA ASSET MANAGEMENT LLC	05/23/2012

Rule Summary

NFA ID	Respondent	Rule Type
0417320	TMA ASSET MANAGEMENT LLC	• C.R.2-46 - CPO QUARTERLY REPORTING REQUIREMENTS
		• C.R.2-13 - RECORDKEEPING FOR CPOS/CTAS

Committee Summary

NFA ID	Respondent	Committee
0417320	TMA ASSET MANAGEMENT LLC	• HEARING COMMITTEE
		• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0417320	TMA ASSET MANAGEMENT LLC	• FINANCIAL POSITION AND REPORTING

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0417320	TMA ASSET MANAGEMENT LLC	• FINE (CONTINGENT) $15000	05/08/2012
		• WITHDRAW FROM MEMBERSHIP	05/08/2012

Narrative Summary

Narrative for 0417320 - TMA ASSET MANAGEMENT LLC

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

COMPLAINT:

On April 2, 2012, NFA issued a Complaint charging TMA with failure to timely file quarterly and annual pool reports with NFA.

ANSWER:

On April 11, 2012, TMA filed an Answer to the Complaint in which it denied the material allegations contained therein.

DECISION:

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.

Case Documents Summary

NFA ID	Respondent	Document Type
0417320	TMA ASSET MANAGEMENT LLC	ANSWER
0417320	TMA ASSET MANAGEMENT LLC	COMPLAINT
0417320	TMA ASSET MANAGEMENT LLC	DECISION

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