| TIMOTHY JAMES KARLIN |
NFA 12BCC00013 |
NFA ID: 0424911 |
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| 0424911 | KARLIN, TIMOTHY JAMES | 10/25/2012 | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | 10/25/2012 |
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| 0424911 | KARLIN, TIMOTHY JAMES | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | • C.R.2-36(b)(2) - FRAUD AND RELATED MATTERS | | | | • C.R.2-36(e) - FOREX DEALER MEMBERS SUPERVISION OF EMPLOYEES | | | | • R.R.208 - CHANGES REQUIRING NEW REGISTRATION |
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| 0424911 | KARLIN, TIMOTHY JAMES | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | • HEARING COMMITTEE | | | | • BUSINESS CONDUCT COMMITTEE |
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| 0424911 | KARLIN, TIMOTHY JAMES | • GENERAL CONDUCT | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | • GENERAL CONDUCT | | | | • REGISTRATION |
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| 0424911 | KARLIN, TIMOTHY JAMES | • OTHER--SEE NARRATIVE | 10/10/2012 | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | • OTHER--SEE NARRATIVE | 10/10/2012 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On April 13, 2012, NFA issued a Complaint charging TCM with distributing false trading statments to TCM's lenders and failing to list Michael Karlin as a principal of TCM. The Complaint also charged Timothy Karlin and TCM with failing to diligently supervise TCM's operations.
ANSWER:
On May 30, 2012, TCM and Timothy Karlin filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On October 10, 2012, pursuant to a settlement offer submitted by TCM and Timothy Karlin, TCM and Timothy Karlin are prohibited from employing Michael Karlin in any capacity whatsoever either paid or unpaid. In addition, TCM and Karlin were ordered to develop and implement supervisory procedures, including procedures for monitoring trading activity, and for accurately reporting such trading activity to TCM's lenders and/or customers. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On April 13, 2012, NFA issued a Complaint charging TCM with distributing false trading statments to TCM's lenders and failing to list Michael Karlin as a principal of TCM. The Complaint also charged Timothy Karlin and TCM with failing to diligently supervise TCM's operations.
ANSWER:
On May 30, 2012, TCM and Timothy Karlin filed an Answer to the Complaint in which they denied the material allegations contained therein.
DECISION:
On October 10, 2012, pursuant to a settlement offer submitted by TCM and Timothy Karlin, TCM and Timothy Karlin are prohibited from employing Michael Karlin in any capacity whatsoever either paid or unpaid. In addition, TCM and Karlin were ordered to develop and implement supervisory procedures, including procedures for monitoring trading activity, and for accurately reporting such trading activity to TCM's lenders and/or customers. | | |
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| 0424911 | KARLIN, TIMOTHY JAMES | ANSWER | | 0424911 | KARLIN, TIMOTHY JAMES | COMPLAINT | | 0424911 | KARLIN, TIMOTHY JAMES | DECISION | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | ANSWER | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | COMPLAINT | | 0424519 | TRADINGEDGE CAPITAL MANAGEMENT | DECISION |
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