| COPIES OF DOCUMENTS LISTED BELOW ARE AVAILABLE UPON REQUEST
Notice of Intent to Revoke Registration:
On April 3, 2012, NFA's President issued a Notice of Intent to Revoke Registration to TriCor Financial LLC. The Notice of Intent alleges that TriCor is disqualified from registration under Section 8a(3)(N) of the Commodity Exchange Act because a principal of the firm could be disqualified from registration under Section 8a(3)(G) of the Act. To view the Notice of Intent, go to Case Documents. To obtain a copy, contact NFA's Information Center.
Final Order Conditioning Registration:
On June 21, 2012, a Subcommittee of NFA's Membership Committee issued a Final Order Conditioning Registration to TriCor Financial LLC. The Final Order becomes effective on July 23, 2012. To view the Final Order, go to Case Documents. To obtain a copy, contact NFA's Information Center.
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